Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Santos is a financial professional with over 14 years of experience in the industry. Michael is currently registered with Charles Schwab & CO., Inc. in Raleigh, NC. Michael has held previous positions at TD Ameritrade, Inc. and Scottrade, Inc. Michael has passed the Series 7, 9, 10, 63 and 66 exams. Michael has specializations in investment advisory services and brokerage services. Michael is registered to provide investment advisory services in North Carolina and brokerage services in 26 states.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
NC
08/14/2023 - Present
Charles Schwab & CO., Inc. (Raleigh NC)
NC
02/26/2018 - 09/01/2023
TD AMERITRADE, INC. (RALEIGH NC)
NC
02/01/2016 - 02/26/2018
SCOTTRADE, INC. (RALEIGH NC)
NJ
04/09/2012 - 01/27/2016
TD AMERITRADE, INC. (PARAMUS NJ)
NY
12/01/2009 - 04/09/2012
NYLIFE SECURITIES LLC (NEW YORK NY)
BOTH
Issued 05/08/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/08/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/22/2016
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/27/2016
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/30/2009
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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