Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Harvey is a financial advisor with over 20 years of experience in the industry. Michael is currently registered with RBC Capital Markets, LLC, and has previously been registered with UBS Securities LLC, ABN AMRO Incorporated, and Andover Brokerage, L.L.C. Michael holds several licenses and certifications, including Series 7, Series 63, and Series 30. Michael is registered to provide securities advice in California, New York, and Texas.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
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2
NY
01/09/2014 - Present
RBC Capital Markets, LLC (NEW YORK NY)
NY
09/30/2006 - 12/04/2013
UBS SECURITIES LLC (NEW YORK NY)
NY
10/29/2002 - 10/06/2006
ABN AMRO INCORPORATED (NEW YORK NY)
NY
03/28/2000 - 04/20/2001
ANDOVER BROKERAGE, L.L.C. (MONTEBELLO NY)
BC
Issued 04/14/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/30/1997
Series 30 - NFA Branch Manager Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/27/2000
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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