Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Sroga is a financial advisor with over 12 years of experience in the financial industry. Michael is currently registered with Morgan Stanley and has a Series 7, Series 55, Series 63, Series 86, Series 87, Series 99TO, Series 57TO and Series 24 licenses. Michael has previously been registered with Jefferies LLC and Needham & Company, LLC. Michael provides a wide range of financial services including asset allocation advice, financial planning, pension consulting, educational seminars and selection of other advisors.
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
10/05/2020 - Present
Morgan Stanley (New York NY)
NY
07/29/2020 - 08/25/2020
JEFFERIES LLC (NEW YORK NY)
NY
07/18/2017 - 03/16/2020
JEFFERIES LLC (NEW YORK NY)
NY
10/16/2015 - 07/17/2017
NEEDHAM & COMPANY, LLC (NEW YORK NY)
NY
06/27/2014 - 10/13/2015
JEFFERIES LLC (NEW YORK NY)
NY
05/02/2007 - 07/18/2012
PIPER JAFFRAY & CO. (NEW YORK NY)
BC
Issued 05/21/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/30/2022
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/13/2016
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 03/14/2016
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 07/30/2007
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 05/01/2007
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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