Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Paul Deorocki is an investment advisor representative with RBC Capital Markets, LLC. Michael has over 20 years of experience in the industry. Michael holds a Series 6, Series 7, Series 10, Series 24, Series 26, and Series 63 licenses. Michael is registered to provide investment advice in several states, including New York, Texas, and others. Michael specializes in providing financial planning, portfolio management, and pension consulting services.
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
NY
01/03/2019 - Present
RBC Capital Markets, LLC (ALBANY NY)
MA
06/01/2009 - 01/14/2014
MORGAN STANLEY (WELLESLEY MA)
MA
01/06/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (WALTHAM MA)
RI
05/30/2002 - 12/19/2005
CCO INVESTMENT SERVICES CORP. (JOHNSTON RI)
OH
10/19/2005 - 11/18/2005
CHARTER ONE SECURITIES, INC. (CLEVELAND OH)
IL
10/19/2001 - 05/09/2002
SCUDDER DISTRIBUTORS, INC. (CHICAGO IL)
NY
02/17/2000 - 10/19/2001
SCUDDER INVESTOR SERVICES, INC. (NEW YORK NY)
IA
Issued 12/30/2014
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/16/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/30/2008
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/29/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/06/2005
Series 24 - General Securities Principal Examination
BC
Issued 07/22/2002
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/08/2002
Series 7 - General Securities Representative Examination
BC
Issued 02/16/2000
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
Not sure Michael Deorocki is the right advisor for you? Invested Better is here to help.
