Michael Trethewey
Michael Trethewey is a registered investment advisor at Prospera Financial Services, INC., based in Miami, FL, with 28 years of industry experience. Their practice areas include Estate Planning, Retirement Planning. Their firm serves 19,103 clients with $12B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Prospera Financial Services offers investment management through various programs. The fees are based on a percentage of your portfolio's value and are negotiable, but the maximum annual fee is 2.15%. The specific fee and services are agreed upon in an advisory agreement. Fees are typically deducted from your account. Some programs may have additional fees, such as transaction costs or sub-account fees. Prospera also participates in revenue sharing with custodians and other third parties, which creates a conflict of interest.
Location
Miami, FL
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Regulatory History (7)
Regulatory
May 2023Employment Separation After Allegations
March 2023Customer Dispute
April 2018Customer Dispute
November 2014Customer Dispute
May 2013Customer Dispute
January 2003Customer Dispute
December 2002Employment History
Current Registrations
Prospera Financial Services, INC.
Prospera Financial Services, INC.Broker
Previous Registrations
Wells Fargo Clearing Services, LLCBroker
Wells Fargo Clearing Services, LLC
Morgan StanleyBroker
Morgan Stanley
Morgan Stanley & CO. Incorporated
Morgan Stanley & CO. IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations13 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.