Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Dolan has been in the financial services industry since 1999. Dolan is currently registered with Charles Schwab & CO., Inc. in California. Michael is a licensed Investment Advisor Representative and has passed the Series 7, 9, 10, 63 and 65 exams. Before joining Charles Schwab, Michael has worked with Independent Financial Group, LLC and AFA Financial Group, LLC. Dolan specializes in portfolio management for individuals, selection of other advisors and wrap fee program sponsors and financial planning advisor referral programs.
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
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2
CA
10/23/2012 - Present
Charles Schwab & CO., Inc. (Novato CA)
CA
02/01/2010 - 10/15/2012
INDEPENDENT FINANCIAL GROUP, LLC (MILL VALLEY CA)
CA
06/30/2005 - 12/31/2009
AFA FINANCIAL GROUP, LLC (CALABASAS CA)
WI
12/09/2002 - 07/05/2005
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (MILWAUKEE WI)
CA
08/26/1993 - 12/12/1996
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
WA
03/18/1996 - 10/18/1996
SEAFIRST INVESTMENT SERVICES, INC. (SEATTLE WA)
NA
07/27/1992 - 11/03/1992
REYNOLDS KENDRICK STRATTON, INC.
IA
Issued 08/26/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/17/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/25/2013
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/18/2013
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/05/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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