Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Warren Neff is a financial advisor with over 25 years of experience in the financial services industry. Michael is currently registered with Wells Fargo Clearing Services, LLC, and has held previous roles with RBC Capital Markets, LLC and J. B. Hanauer & Co. Michael holds various licenses, including Series 7, 9, 10, 63, and 65, and has expertise in various investment areas. Michael has been recognized for his outstanding client service and commitment to providing personalized financial advice. Michael focuses on providing a range of financial planning and investment advisory services to both individuals and businesses.
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.
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.
Investment consulting services to institutional clients
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.
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2
FL
10/22/2015 - Present
Wells Fargo Clearing Services, LLC (TAMPA FL)
FL
10/09/2009 - 11/12/2015
RBC CAPITAL MARKETS, LLC (TAMPA FL)
FL
03/25/1999 - 10/09/2009
J. B. HANAUER & CO. (TAMPA FL)
GA
09/03/1998 - 01/19/1999
FSC SECURITIES CORPORATION (ATLANTA GA)
IA
Issued 05/07/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/03/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/26/2013
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/08/2013
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/02/1998
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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