Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Arnold? Claim Your ProfileArnold Rosales is an investment advisor representative associated with Merrill Lynch, Pierce, Fenner & Smith Inc. Arnold has been in the industry since January 21, 2008, with previous experience at PNC Investments, LPL Financial LLC, and Wells Fargo Advisors, LLC. Arnold holds the Series 6, 7, 63, and 65 licenses, as well as the SIE. Arnold specializes in working with high-net-worth individuals, corporations, and pension and profit-sharing plans. Arnold also has a 100% ownership interest in METHOD PRODUCTIONS, a music and sound effects business in Charlotte, North Carolina.
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
NC
12/13/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHARLOTTE NC)
NC
08/19/2014 - 11/22/2016
PNC INVESTMENTS (CHARLOTTE NC)
NC
08/12/2013 - 08/08/2014
LPL FINANCIAL LLC (CHARLOTTE NC)
NC
12/17/2007 - 08/01/2013
WELLS FARGO ADVISORS, LLC (CHARLOTTE NC)
IA
Issued 01/08/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/21/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/12/2012
Series 7 - General Securities Representative Examination
BC
Issued 12/15/2007
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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