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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Simon is a financial advisor at Morgan Stanley, where he has been employed since 2010. Michael has been in the financial industry since 2003. He is licensed to sell securities in 37 states, as well as California and Texas. Michael has passed the Series 66, 7, 9, 10 and 31 exams, as well as the SIE exam. Michael has a broad range of experience in providing financial advice to individuals and businesses. He is also a registered Investment Advisor Representative.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NY
02/20/2020 - Present
Morgan Stanley (Jericho NY)
NY
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (JERICHO NY)
NY
02/02/2007 - 04/02/2007
MORGAN STANLEY DW INC. (JERICHO NY)
NY
11/17/2003 - 02/12/2007
UBS FINANCIAL SERVICES INC. (HUNTINGTON NY)
BOTH
Issued 12/05/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/03/2011
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/29/2010
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/09/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 11/14/2003
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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