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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Adam? Claim Your ProfileAdam J Bornstein is a financial advisor who has been in the industry since 1992. Adam is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in Bloomfield Hills, MI and Boca Raton, FL. Prior to joining Merrill Lynch, Adam worked for UBS Financial Services Inc., Morgan Stanley DW Inc., and Prudential Securities Incorporated. Adam holds Series 63, 65, 7 and 31 licenses in addition to the SIE. He has a broad range of experience in the industry, having previously worked with clients of different types, including high-net-worth individuals, corporations, and pension plans. Adam’s specializations include investments in stocks, bonds, mutual funds, variable annuities, and options.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
MI
08/25/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BLOOMFIELD HILLS MI)
MI
11/05/2004 - 10/08/2010
UBS FINANCIAL SERVICES INC. (BIRMINGHAM MI)
NY
02/22/1994 - 11/09/2004
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
04/07/1992 - 02/28/1994
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 09/23/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/06/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/24/1995
Series 31 - Futures Managed Funds Examination
BC
Issued 04/06/1992
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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