Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Annie? Claim Your ProfileAnnie Louie is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Annie has been in the industry since 1998. Previously, Annie worked at Charles Schwab & Co., Inc. and Morgan Stanley. Annie is licensed to conduct business in California and Texas. Annie holds the Series 6, 7, 9, 10, 63, and 66 securities licenses. Annie has a Series 63 and 66 license that makes Annie qualified to offer investment advice in both the securities and investment advisory fields. Annie's specialties include providing investment advice to high net worth individuals, corporations, and pension and profit-sharing plans.
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
10/18/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SAN FRANCISCO CA)
CA
05/18/2015 - 04/08/2016
MORGAN STANLEY (SANTA ROSA CA)
CA
08/15/1997 - 03/04/2015
CHARLES SCHWAB & CO., INC. (SAN FRANCISCO CA)
NY
06/09/1995 - 09/14/1995
NYLIFE SECURITIES INC. (NEW YORK NY)
BOTH
Issued 12/1/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 7/31/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 7/25/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 7/19/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 9/15/1997
Series 7 - General Securities Representative Examination
BC
Issued 6/8/1995
Series 6 - Investment Company Products/Variable Contracts 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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