Unclaimed
Michael Schwartz is a financial professional with over 18 years of experience in the industry. Michael is currently registered with Fifth Third Securities, Inc. and has held previous positions with WELLS FARGO SECURITIES, LLC, WACHOVIA CAPITAL MARKETS, LLC, and WACHOVIA SECURITIES, LLC. Michael holds licenses including Series 7, Series 63, Series 57TO, Series 79TO, Series 99TO, and SIE. Michael is currently licensed in North Carolina.
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.
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.
Sponsor wrap fee program
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.
1
2
NC
12/19/2022 - Present
Fifth Third Securities, Inc. (CHARLOTTE NC)
NC
11/16/2009 - 07/05/2022
WELLS FARGO SECURITIES, LLC (CHARLOTTE NC)
NC
07/01/2003 - 01/11/2008
WACHOVIA CAPITAL MARKETS, LLC (CHARLOTTE NC)
MO
02/06/2003 - 07/01/2003
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
BC
Issued 2/24/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 57TO - Securities Trader Exam
BC
Issued 1/2/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 1/2/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 2/4/2003
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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