Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Lorraine is an experienced financial professional with over 20 years of experience in the industry. Michael is currently registered with BMO Capital Markets Corp. in New York, NY. Michael has previously held positions at WELLS FARGO SECURITIES, LLC, SCHOTTENFELD GROUP LLC, and GOLDMAN, SACHS & CO.. Michael is registered in 51 states and holds various licenses, including Series 3, 7, 24, 55, 57TO, and SIE. Michael focuses on providing investment advice and portfolio management services to a variety of clients, including pooled investment vehicles.
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.
Provision of securities trading ideas and research
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.
Fees for securities trading ideas and research
1
2
NY
02/04/2014 - Present
BMO Capital Markets Corp. (New York NY)
NY
04/13/2009 - 12/11/2013
WELLS FARGO SECURITIES, LLC (NEW YORK NY)
NY
02/13/2009 - 04/06/2009
SCHOTTENFELD GROUP LLC (NEW YORK NY)
NY
10/20/1999 - 04/12/2005
GOLDMAN, SACHS & CO. (NEW YORK NY)
BC
Issued 04/17/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/18/2010
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/06/2009
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/18/1999
Series 7 - General Securities Representative Examination
BC
Issued 09/27/1999
Series 3 - National Commodity Futures 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
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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