Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Graham is a financial advisor with over 12 years of experience in the industry. Michael is currently registered with Morgan Stanley in New York, NY. Michael has also held prior registrations with UBS Financial Services Inc. in Weehawken, NJ. Michael holds several licenses and certifications including Series 66, Series 10, Series 9, Series 99TO, SIE, and Series 7. Michael works with a wide range of clients including individuals, high-net-worth individuals, corporations, insurance companies, investment companies, charitable organizations, pension and profit-sharing plans, and state or municipal government entities.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NY
06/16/2021 - Present
Wealthpenn.comllc (New York NY)
NJ
10/06/2011 - 12/23/2014
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
BOTH
Issued 5/24/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/17/2014
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/18/2014
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 1/2/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/5/2011
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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