Michael D. Tuazon
Professional summary
Michael David Tuazon, who also goes by Mike D. Tuazon, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Orlando, Florida and CHARLES SCHWAB & CO., INC. located in Orlando, Florida.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Michael has worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Michael David Tuazon's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 1, 2015 - Present
SCHWAB WEALTH ADVISORY, INC.
Office #1: 1991 Summit Park Drive, Orlando, FL 32810April 27, 2015 - Present
CHARLES SCHWAB & CO., INC.
Office #1: 1991 Summit Park Drive, Orlando, FL 32810March 26, 2013 - March 30, 2015
WELLS FARGO CLEARING SERVICES, LLC
March 25, 2013 - March 30, 2015
WELLS FARGO CLEARING SERVICES, LLC
May 12, 2011 - April 9, 2013
MORGAN STANLEY
May 11, 2011 - April 9, 2013
MORGAN STANLEY
April 30, 2009 - December 31, 2009
WOODBURY FINANCIAL SERVICES, INC.
April 24, 2009 - October 13, 2010
WOODBURY FINANCIAL SERVICES, INC.
June 1, 2005 - March 4, 2009
MSI FINANCIAL SERVICES, INC.
July 15, 2004 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
July 15, 2004 - March 4, 2009
MSI FINANCIAL SERVICES, INC.
May 3, 2004 - June 9, 2004
TRANSAMERICA FINANCIAL ADVISORS, LLC
Primary Firm SEC Registration
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
State Registrations and Notice Filings
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Visual representation of state registrations
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Exams
FINRA
Nasdaq Stock Market
Current Firm
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
Contact information
SEC notice filing (53 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
