Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Brown is a financial advisor with over 28 years of experience in the industry. Michael is currently registered with National Financial Services LLC. Previously, Michael has been registered with Fidelity Brokerage Services LLC, National Financial Services LLC, ALPS Distributors, Inc., IXIS Asset Management Distributors, L.P., Lombard Securities Incorporated, Vision Securities Inc., and Saperston Financial Inc.. Michael is licensed to sell securities in multiple states and holds licenses for Series 4, 7, 9, 10, 24, 63, 66, 99TO and SIE examinations.
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.
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.
1
2
RI
01/06/2023 - Present
National Financial Services LLC (SMITHFIELD RI)
RI
03/30/2011 - 11/11/2022
FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)
RI
11/07/2014 - 12/31/2014
NATIONAL FINANCIAL SERVICES LLC (SMITHFIELD RI)
MA
01/06/2006 - 10/06/2010
ALPS DISTRIBUTORS, INC. (TEWKSBURY MA)
MA
06/26/2002 - 10/17/2005
IXIS ASSET MANAGEMENT DISTRIBUTORS, L.P. (BOSTON MA)
MD
11/09/1999 - 10/31/2001
LOMBARD SECURITIES INCORPORATED (BALTIMORE MD)
NY
06/21/1996 - 12/20/1999
VISION SECURITIES INC. (PORT WASHINGTON NY)
NY
08/26/1994 - 07/01/1996
SAPERSTON FINANCIAL INC. (BUFFALO NY)
LA
03/09/1994 - 09/02/1994
SISUNG SECURITIES CORPORATION (NEW ORLEANS LA)
BOTH
Issued 02/22/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/14/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/28/2010
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/16/2010
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/03/1998
Series 24 - General Securities Principal Examination
BC
Issued 06/04/1997
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/08/1994
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe C2 Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, 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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