Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ashley? Claim Your ProfileAshley Calderon is a financial advisor registered with both the BrokerCheck and the Investment Adviser Public Disclosure (IAPD) systems. Ashley is licensed to provide investment advice in 53 states and districts. Ashley has been working in the financial industry since July 25, 2006, and is currently registered with Rockefeller Financial LLC and Rockefeller Capital Management. Ashley holds a Series 63, Series 66, Series 7, Series 9, and Series 10 license. Ashley has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., and Wachovia Securities, LLC in the past.
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.
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.
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
08/28/2019 - Present
Rockefeller Financial LLC (Los Angeles CA)
CA
05/23/2012 - 08/14/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LOS ANGELES CA)
CA
06/01/2009 - 05/16/2012
MORGAN STANLEY SMITH BARNEY (BEVERLY HILLS CA)
CA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (BEVERLY HILLS CA)
CA
12/06/2006 - 04/02/2007
MORGAN STANLEY DW INC. (BEVERLY HILLS CA)
CA
06/20/2006 - 11/17/2006
WACHOVIA SECURITIES, LLC (LOS ANGELES CA)
BOTH
Issued 06/12/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/21/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/18/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/19/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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