Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Robert Smith is a financial advisor with Wells Fargo Clearing Services, LLC. Michael has been in the industry since 2007. Michael is registered with FINRA and the states of Alabama, Arizona, Arkansas, California, Delaware, Florida, Georgia, Kentucky, Maine, Maryland, Minnesota, New Hampshire, New Jersey, New York, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, Tennessee, Texas, Virginia, West Virginia, and Wisconsin. Michael holds Series 6, 7, 63, 65 and SIE licenses. Michael specializes in providing financial advice to high net worth individuals, corporations, and institutions. Michael also has experience in retirement planning, investment management, and estate planning.
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.
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.
Investment consulting services to institutional clients
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.
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2
NC
01/18/2008 - Present
Wells Fargo Clearing Services, LLC (CHARLOTTE NC)
IA
Issued 01/14/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/13/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/16/2010
Series 7 - General Securities Representative Examination
BC
Issued 09/11/2007
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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