Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Whatley is a financial advisor at UBS Financial Services Inc. Michael has been in the financial services industry since March 6, 2000. Michael has Series 7 and Series 66 licenses and holds registrations in 16 states. Michael has also passed the Securities Industry Essentials (SIE) exam. Michael has prior experience with Friedman, Billings, Ramsey & Co., Inc., SunTrust Investment Services, Inc., American Express Financial Advisors Inc., and IDS Life Insurance Company.
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.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
DC
06/03/2008 - Present
UBS Financial Services Inc. (WASHINGTON DC)
VA
03/28/2006 - 05/16/2008
FRIEDMAN, BILLINGS, RAMSEY & CO., INC. (ARLINGTON VA)
GA
06/16/2000 - 03/27/2006
SUNTRUST INVESTMENT SERVICES, INC. (ATLANTA GA)
MN
11/11/1999 - 02/22/2000
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
11/11/1999 - 02/22/2000
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BOTH
Issued 06/03/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/02/1999
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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