Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Arthur? Claim Your ProfileArthur Edward Rozzero is a financial advisor with over 40 years of experience in the industry. Arthur Rozzero has been registered with Merrill Lynch, Pierce, Fenner & Smith Inc. since 1978 and is currently licensed in 30 states. Arthur Edward Rozzero specializes in providing investment advice to high-net-worth individuals, corporations, and charitable organizations. Arthur Rozzero has a wide range of investment experience and is committed to providing personalized financial advice to meet his clients' individual needs.
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
RI
09/21/2018 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PROVIDENCE RI)
NA
07/01/1977 - 09/26/1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
IA
Issued 7/16/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 6/15/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 1/2/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/7/1990
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 9/8/1977
PC - AMEX Put and Call Exam
BC
Issued 6/18/1977
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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