linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Michael Matthew Promis

Charles Schwab & CO., Inc.

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Michael? Claim Your Profile

About Michael Matthew Promis

Michael Matthew Promis is a registered investment advisor representative with Charles Schwab & CO., Inc. in Fairfield, Connecticut. Michael has been in the securities industry since December 20, 2005, and has held previous roles with TD Ameritrade, Inc., First Allied Securities, Inc., Citigroup Global Markets Inc., and Ameriprise Financial Services, Inc. Michael holds the Series 66, Series 7, and SIE licenses.

Firm Information

Michael Promis is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

Total Financial Advisors

Services Offered

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.

check

financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

check

selection of other advisors

Helps you choose top advisors aligned with your financial goals.

check

wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

Fee Structure

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.

check

fixed fees

Set rates for specific services, regardless of time or assets managed.

check

other

Asset based fees for wrap pgrms & subsc pricing for fin planning

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Michael Promis’s Registration & Firm History

CT

01/26/2022 - Present

Charles Schwab & CO., Inc. (Fairfield CT)

CT

09/06/2012 - 05/19/2024

TD AMERITRADE, INC. (STAMFORD CT)

CT

02/28/2012 - 08/14/2012

FIRST ALLIED SECURITIES, INC. (RIVERSIDE CT)

CT

06/29/2010 - 12/21/2011

CITIGROUP GLOBAL MARKETS INC. (STAMFORD CT)

CT

09/22/2005 - 07/13/2010

AMERIPRISE FINANCIAL SERVICES, INC. (NORWALK CT)

Not sure if Michael Matthew Promis is right for you?

Licenses & Designations

BOTH

Issued 10/26/2005

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/21/2005

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There is public disclosure for Michael Matthew Promis. Review regulatory record here.
Not sure if Michael Matthew Promis is right for you?