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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Albert? Claim Your ProfileAlbert Smith is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Albert has been working in the financial services industry since 2016. Albert has a Series 63, 65, and 7 license, as well as the SIE exam. Albert is registered in 53 states and the District of Columbia, and is also registered as an Investment Advisor Representative in California, New Jersey, New York, and Texas. Albert specializes in providing financial advice to high-net-worth individuals, corporations, and charitable organizations.
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
CA
08/17/2017 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LOS ANGELES CA)
NY
10/31/2016 - 01/03/2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
05/13/2016 - 08/22/2016
MORGAN STANLEY (NEW YORK NY)
IA
Issued 03/17/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/12/2017
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/13/2016
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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