Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Berens is a financial advisor with RBC Capital Markets, LLC. Michael has been in the industry since 1989. Michael holds Series 6, 7, 9, 10, 63, and 66 licenses and has been registered with the state of Maryland and the District of Columbia. Michael has a wide range of experience in the financial services industry, having worked at several firms, including RBC Centura Securities, Inc., RBC Dain Rauscher Inc., Tucker Anthony Incorporated, John Hancock Funds, Inc., New England Securities, NML Equity Services, Inc., Planco Financial Services, Inc., and The Great-West Life Assurance Company. Michael provides a wide range of services to clients, including financial planning, portfolio management, and pension consulting.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
MD
10/26/2023 - Present
RBC Capital Markets, LLC (ROCKVILLE MD)
NC
05/04/2004 - 03/02/2005
RBC CENTURA SECURITIES, INC. (KANNAPOLIS NC)
NY
03/09/2002 - 09/25/2002
RBC DAIN RAUSCHER INC. (NEW YORK NY)
MA
10/07/1999 - 03/09/2002
TUCKER ANTHONY INCORPORATED (BOSTON MA)
MA
10/16/1996 - 09/30/1999
JOHN HANCOCK FUNDS, INC. (BOSTON MA)
NY
09/07/1990 - 10/19/1995
NEW ENGLAND SECURITIES (NEW YORK NY)
WI
06/29/1989 - 10/12/1990
NML EQUITY SERVICES, INC. (MILWAUKEE WI)
CT
06/18/1987 - 04/13/1989
PLANCO FINANCIAL SERVICES, INC. (HARTFORD CT)
NA
08/08/1986 - 04/14/1987
THE GREAT-WEST LIFE ASSURANCE COMPANY
BOTH
Issued 10/25/2023
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/18/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/03/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/03/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/13/1997
Series 7 - General Securities Representative Examination
BC
Issued 08/07/1986
Series 6 - Investment Company Products/Variable Contracts 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 PEARL, 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 PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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