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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Yannick? Claim Your ProfileYannick Miquel is a financial advisor with over 20 years of experience in the industry. Yannick has held various roles at firms such as Kestra Investment Services, LLC, NFP Securities, Inc., Northwestern Mutual Investment Services, LLC, Investors Capital Corp., Morgan Stanley DW Inc., PRUCO Securities, LLC., Commonwealth Financial Network, and Pioneer Funds Distributor, Inc. Yannick is currently registered with LPL Financial LLC and has a Series 6, 7, 9, 10, 24, 26, 31, 52TO, 53 and 63. Yannick's current registrations include broker-dealer, investment advisor, and state registration in all 50 states. Yannick specializes in financial planning, portfolio management, and pension consulting. Yannick serves a variety of clients including high-net-worth individuals, corporations, and other 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.
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.
Consulting and other non-discretionary advisory services
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
NC
05/17/2019 - Present
LPL Financial LLC (CARY NC)
TX
08/21/2014 - 03/27/2019
KESTRA INVESTMENT SERVICES, LLC (AUSTIN TX)
TX
05/19/2011 - 04/08/2013
NFP SECURITIES, INC. (AUSTIN TX)
MA
11/27/2007 - 04/19/2010
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (BOSTON MA)
MA
10/12/2005 - 10/16/2007
INVESTORS CAPITAL CORP. (LYNNFIELD MA)
NY
02/10/2005 - 07/26/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
NJ
05/07/2004 - 02/08/2005
PRUCO SECURITIES, LLC. (NEWARK NJ)
MA
08/12/2002 - 12/31/2002
COMMONWEALTH FINANCIAL NETWORK (WALTHAM MA)
MA
12/11/1995 - 08/14/2000
COMMONWEALTH FINANCIAL NETWORK (WALTHAM MA)
MA
09/12/1994 - 11/10/1995
PIONEER FUNDS DISTRIBUTOR, INC. (BOSTON MA)
IA
Issued 05/19/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/28/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 07/26/2011
Series 53 - Municipal Securities Principal Examination
BC
Issued 12/20/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/06/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/29/2005
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/02/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 04/22/2005
Series 7 - General Securities Representative Examination
BC
Issued 09/09/1994
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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