Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alicia? Claim Your ProfileAlicia Guagliardo is a financial advisor at Wealthpenn.comllc, a firm with offices in Seattle, WA and Purchase, NY. Alicia has been in the financial services industry for over 25 years, starting her career in 1996. She holds a wide range of licenses and certifications, including Series 6, 7, 9, 10, 24, 51, 52, 53, and 63 licenses, and the SIE exam. She is also registered to provide investment advisory services in Washington and Texas. Her expertise includes financial planning, asset allocation advice, portfolio management for individuals, businesses, and investment companies, as well as 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.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
WA
08/28/2015 - Present
Wealthpenn.comllc (Seattle WA)
WA
11/07/2014 - 12/08/2014
ROBERT W. BAIRD & CO. INCORPORATED (Seattle WA)
WA
08/22/2012 - 11/07/2014
MCADAMS WRIGHT RAGEN, INC. (SEATTLE WA)
WA
06/19/2008 - 08/17/2012
NATIONAL SECURITIES CORPORATION (SEATTLE WA)
WA
01/03/2007 - 06/18/2008
FORESIDE FUND SERVICES, LLC (SEATTLE WA)
WA
08/04/2006 - 12/31/2006
ALPS DISTRIBUTORS, INC. (SEATTLE WA)
KS
06/09/2000 - 06/21/2006
INTRUST BROKERAGE INC. (WICHITA KS)
WI
12/15/1998 - 06/12/2000
INVEST FINANCIAL CORPORATION (APPLETON WI)
IA
07/07/1998 - 12/10/1998
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. (CEDAR RAPIDS IA)
NY
03/26/1998 - 07/10/1998
NEW ENGLAND SECURITIES (NEW YORK NY)
CA
09/03/1997 - 01/13/1998
UNITED PACIFIC SECURITIES, INC. (CARLSBAD CA)
GA
04/01/1996 - 08/07/1997
PFS INVESTMENTS INC. (DULUTH GA)
NA
08/25/1995 - 02/23/1996
BANC IV INVESTMENTS, INC.
IA
Issued 9/22/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 8/24/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 1/2/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/3/2015
Series 53 - Municipal Securities Principal Examination
BC
Issued 10/7/2004
Series 4 - Registered Options Principal Examination
BC
Issued 12/18/2003
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 1/31/1996
Series 24 - General Securities Principal Examination
BC
Issued 1/2/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 7/7/2016
Series 3 - National Commodity Futures Examination
BC
Issued 1/16/1996
Series 7 - General Securities Representative Examination
BC
Issued 8/24/1995
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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