Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Sumbs is a registered representative with Raymond James & Associates, Inc., where he has been employed since June 16, 2017. Michael has over 9 years of experience in the financial services industry and is licensed to provide securities and investment advisory services in North Carolina and New York. His previous employers include Keefe, Bruyette & Woods, Inc. and Macquarie Capital (USA) Inc. Michael holds the Series 7, 63, 79, and SIE licenses. Michael is a dedicated professional committed to providing exceptional financial guidance and support to clients.
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.
Please see note in schedule d - miscellaneous
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
NC
06/16/2017 - Present
Raymond James & Associates, Inc. (RALEIGH NC)
NY
08/05/2016 - 06/09/2017
MACQUARIE CAPITAL (USA) INC. (NEW YORK NY)
VA
03/19/2009 - 05/25/2012
KEEFE, BRUYETTE & WOODS, INC. (RICHMOND VA)
BC
Issued 11/08/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/05/2016
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 03/18/2009
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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