Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alfred? Claim Your ProfileAlfred Aloysius Smith is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Alfred Smith has been in the financial industry since 1990. Alfred Aloysius Smith has a Series 63, Series 65, Series 7, Series 9, Series 10 and Series 31. Alfred Smith has previously worked at REICH & CO., INC. and Lehman Brothers Inc. Alfred Smith is registered in 46 states, including Pennsylvania and Texas where Alfred Smith holds an investment advisor representative registration.
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
PA
07/07/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHAMBERSBURG PA)
NA
09/10/1991 - 07/07/1993
REICH & CO., INC.
NY
08/16/1990 - 09/11/1991
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 01/11/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/27/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/19/2020
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/21/2020
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/22/2020
Series 31 - Futures Managed Funds Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/14/1990
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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