Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Douglass is a financial advisor who has been working in the industry since 1994. Michael is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and has previously worked at MORGAN STANLEY DW INC. and NEW ENGLAND SECURITIES. Michael is licensed to provide investment advice and securities trading in several states. Michael is registered with the Securities Industry and Financial Markets Association (FINRA) and the Securities and Exchange Commission (SEC). Michael has passed a number of exams including the Series 6, Series 7, Series 63, and Series 65 examinations. Michael has specialized in providing investment advice to corporations, individuals, and high net worth individuals. Michael is also involved in the Houston Livestock Show & Rodeo.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
TX
09/30/2005 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (HOUSTON TX)
NY
10/06/1999 - 10/03/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
11/03/1994 - 10/13/1999
NEW ENGLAND SECURITIES (NEW YORK NY)
IA
Issued 01/20/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/02/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/17/1999
Series 7 - General Securities Representative Examination
BC
Issued 11/02/1994
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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