Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Tarpy is a registered investment advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Michael has been in the industry since June 14, 2008. Michael has a Series 63, Series 66, Series 7, Series 24 and Series 55 licenses and has been registered in 26 states. Michael is currently registered in Illinois and Texas. Michael has previously worked at Spectrum Trading, LLC, NT Securities LLC, Peters Securities Co., LP, and Chicago Partnership Board, Inc.
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
IL
05/14/2015 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHICAGO IL)
NY
10/02/2007 - 01/04/2008
SPECTRUM TRADING, LLC (NEW YORK NY)
IL
08/26/2002 - 04/05/2004
NT SECURITIES LLC (CHICAGO IL)
IL
01/27/1998 - 06/26/2002
PETERS SECURITIES CO., LP (CHICAGO IL)
IL
11/26/1997 - 01/08/1998
CHICAGO PARTNERSHIP BOARD, INC. (CHICAGO IL)
BOTH
Issued 12/22/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/19/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/04/2001
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/11/2014
Series 7 - General Securities Representative Examination
BC
Issued 10/14/1999
Series 55 - Limited Representative-Equity Trader Exam
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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