Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alice? Claim Your ProfileAlice Sunmi Roe urata is a registered representative with LPL Enterprise, LLC in Irvine, CA. Alice has been in the financial services industry since 1991. Alice has also worked for MML Investors Services, LLC, MSI Financial Services, Inc., Metropolitan Life Insurance Company and Pruco Securities, LLC. Alice holds Series 6, 7, 63 and 65 licenses as well as the SIE. Alice is a Registered Representative with the state of California and a registered Investment Advisor in California and Florida. Alice specializes in Financial Planning, Portfolio Management for Individuals and Businesses and offers Educational Seminars.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Seminars designed to boost your financial literacy and investment knowledge.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
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.
A percentage of the total value of assets under management is charged.
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2
CA
01/01/2025 - Present
LPL Enterprise, LLC (IRVINE CA)
CA
03/25/2017 - 08/24/2021
MML INVESTORS SERVICES, LLC (Costa Mesa CA)
CA
04/05/1991 - 03/25/2017
MSI FINANCIAL SERVICES, INC. (IRVINE CA)
CA
04/05/1991 - 07/09/2007
METROPOLITAN LIFE INSURANCE COMPANY (IRVINE CA)
IA
Issued 04/11/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/10/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/26/2005
Series 7 - General Securities Representative Examination
BC
Issued 04/03/1991
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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