Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mick? Claim Your ProfileMick Rognlien is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. in Walnut Creek, California. Mick is registered with the Financial Industry Regulatory Authority (FINRA) and has been in the securities industry since August 2002. Mick has a wide range of experience in the financial services industry, having worked with clients of all types, from high-net-worth individuals to large corporations. Mick's services include portfolio management, financial planning, and pension consulting. Mick is committed to providing his clients with the highest level of service and expertise.
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
CA
02/01/2024 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (WALNUT CREEK CA)
VA
04/01/2008 - 05/11/2011
CAPITAL BROKERAGE CORPORATION (GLEN ALLEN VA)
CA
05/15/2003 - 04/01/2008
ASSETMARK CAPITAL CORPORATION (PLEASANT HILL CA)
TX
09/05/2000 - 07/02/2001
PROTRADER SECURITIES CORPORATION (AUSTIN TX)
NY
06/13/2000 - 08/18/2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 08/29/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/05/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/07/2007
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/12/2000
Series 7 - General Securities Representative Examination
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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