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Michael Charles Lloyd Prewitt

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Information

Firm:
Type: Dual Registration
Description

Michael Prewitt is a financial professional at Merrill Lynch, Pierce, Fenner & Smith Incorporated, a broker-dealer with over 31,800 registered representatives nationwide. Michael has held an industry securities registration for 9 years and is subject to SEC and FINRA oversight.

Advisor Timeline

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Experience
EmployerYearsDates
Bank of America,Na 2 years, 6 months Mar 2012 - Present
Merrill Lynch, Pierce, Fenner & Smith, Inc. 3 years Sep 2011 - Present
Morgan Keegan & Company 5 years, 2 months Jul 2006 - Sep 2011
American Express Financial Advisors 2 years Jul 2004 - Jul 2006
Ids Life Insurance Company 2 years Jul 2004 - Jul 2006
Prairie Fire Grill 2 years, 5 months Feb 2004 - Jul 2006
Exams
ExamSeriesPassed Date
Uniform Combined State Law ExaminationSeries 66 02/03/2005
General Securities Representative ExaminationSeries 7 01/17/2005

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Michael Charles Lloyd Prewitt has not answered any questions on Financial Q&A.

Top Guides

Michael Charles Lloyd Prewitt has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
State or Municipal Government Entities
Corporations or Other Businesses
Other
Other Pooled Investment Vehicles
Charitable Organizations
Pension and Profit Sharing Plans
Banking or Thrift Institutions
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
11/15/2012
04/03/2014
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions