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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Thomas Roy is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., based in Denver, Colorado. Michael has been in the financial industry since August 5, 2019. Michael offers a range of services, including portfolio management for individuals and businesses, pension consulting, and educational seminars. Michael has passed the Series 7TO, SIE, and Series 66 exams. Michael holds active registrations in Iowa and Minnesota. Prior to joining Merrill Lynch, Michael worked for RBC Capital Markets, LLC. in Clive, Iowa, Principal Financial Group in Des Moines, Iowa, and the University of Iowa in Iowa City, Iowa.
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
NY
10/22/2024 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
BOTH
Issued 09/30/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/06/2019
Series 7TO - General Securities Representative Examination
BC
Issued 02/08/2019
SIE - Securities Industry Essentials 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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