Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Smith is a financial advisor with over 23 years of experience in the industry. Michael has been registered with Wells Fargo Clearing Services, LLC since November 2016. Prior to that, Michael was registered with BANC OF AMERICA SECURITIES LLC from June 1998 to March 2001. Michael is a Certified Financial Planner™ professional. Michael is registered with the following states: Alaska, Arizona, California, Colorado, Connecticut, Florida, Georgia, Illinois, Indiana, Louisiana, Maryland, Massachusetts, Michigan, Missouri, New Jersey, New York, North Carolina, Pennsylvania, South Carolina, Texas, Virginia, and Wisconsin. Michael specializes in providing financial planning, investment consulting, and portfolio management services to individuals, families, and businesses.
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
NY
10/24/2018 - Present
Wells Fargo Clearing Services, LLC (NEW YORK NY)
NY
06/02/1998 - 03/16/2001
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
BOTH
Issued 08/29/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/28/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/08/2014
Series 7 - General Securities 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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