Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Naughton is a financial advisor who has been in the industry since 2014. Michael is currently registered with J.P. Morgan Securities LLC and has been registered with UBS Financial Services Inc., Northwestern Mutual Investment Services, LLC, and Sanford C. Bernstein & Co., LLC in the past. Michael is licensed in 53 states and has passed Series 7, 7TO, SIE, 63, and 65 exams.
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.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
CO
02/01/2023 - Present
J.p. Morgan Securities LLC (Denver CO)
CO
11/03/2020 - 01/31/2023
UBS FINANCIAL SERVICES INC. (DENVER CO)
CO
02/14/2019 - 09/12/2020
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (LAKEWOOD CO)
CO
07/28/2008 - 08/27/2012
SANFORD C. BERNSTEIN & CO., LLC (DENVER CO)
BC
Issued 03/18/2019
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 06/30/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/14/2019
Series 7TO - General Securities Representative Examination
BC
Issued 02/14/2019
SIE - Securities Industry Essentials Examination
BC
Issued 07/25/2008
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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