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Michael Barboza

Fifth Third Securities, Inc.

Mooresville, NC

Mooresville, NC

Davidson, NC

Cornelius, NC

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Current Employers
Fifth Third Securities, Inc.

34 Fountain Square Plaza Md 1090Xb, Cincinnati, OH 45263 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2021-08-17
  • NC RA
    APPROVED
    Since 2021-08-17

Branch Locations

329 N Main St, Mooresville, NC 28115 • United States

141 Williamson Road, Mooresville, NC 28117 • United States

124 South Main St, Davidson, NC 28036 • United States

20301 West Catawba Ave, Cornelius, NC 28031 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Charlotte NC 06/2015 Present
Bank Of America, N.A. Charlotte NC 06/2015 Present
Fifth Third Securities Charlotte NC 05/2021 Present
Merrill Charlotte NC 10/2019 05/2021
Bank Of America Charlotte NC 06/2015 10/2019
Fifth Third Securities Charlotte NC 08/2021 Present
  • 06/2015 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Charlotte, NC
  • 06/2015 → Present
    Bank Of America, N.A.
    Charlotte, NC
  • 05/2021 → Present
    Fifth Third Securities
    Charlotte, NC
  • 10/2019 → 05/2021
    Merrill
    Charlotte, NC
  • 06/2015 → 10/2019
    Bank Of America
    Charlotte, NC
  • 08/2021 → Present
    Fifth Third Securities
    Charlotte, NC
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-07-20
  • S66 Uniform Combined State Law Examination
    2020-07-20
Other Names
  • Michael Barboza
  • Michael Anthony Barboza

View on SEC IAPD

Other Firms

TRUIST ADVISORY SERVICES, INC.
EDWARD JONES
CETERA INVESTMENT ADVISERS LLC
VIRTUE CAPITAL MANAGEMENT, LLC
CASTLE WEALTH GROUP
MML INVESTORS SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
J.P. MORGAN SECURITIES LLC

Other Investors

JEFFREY JOHN BULGER
Kimberley B Foster
JOSHUA EVAN MCNEIL
ROBERT M PALMER
Angelique R Harris
Roy Enoch Boone
Monika MacManus Moore
RAYMOND HALSTEAD

Other Offices

TRUIST ADVISORY SERVICES, INC. · MOORESVILLE, NC
EDWARD JONES · MOORESVILLE, NC
CETERA INVESTMENT ADVISERS LLC · MOORESVILLE, NC
VIRTUE CAPITAL MANAGEMENT, LLC · MOORESVILLE, NC
CASTLE WEALTH GROUP · MOORESVILLE, NC
MML INVESTORS SERVICES, LLC · Mooresville, NC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · MOORESVILLE, NC
J.P. MORGAN SECURITIES LLC · Mooresville , NC

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