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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Audrey? Claim Your ProfileAudrey Daum is an experienced financial advisor who has been in the industry since 1989. Audrey has a strong background in both investment advisory and brokerage services. She has been registered with the state of California since 2017. Audrey has worked with Moors & Cabot, Inc., a firm managing over $1 billion in assets, since 2017. Prior to that, she was with Oppenheimer & Co. Inc. and Merrill Lynch. Audrey holds several industry licenses, including Series 7, 63 and 65. Audrey is a board member of the MIT Sloan Alumni Association of Boston and is also an author. She has a focus on working with individuals, charitable organizations, pension plans, and corporations. Audrey can provide financial planning and investment advice in a variety of areas.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
MA
04/28/2017 - Present
Moors & Cabot, Inc. (BOSTON MA)
MA
09/24/2010 - 05/05/2017
OPPENHEIMER & CO. INC. (BOSTON MA)
MA
05/04/1998 - 09/27/2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WELLESLEY HILLS MA)
NY
08/02/1988 - 12/24/1996
CITICORP SECURITIES, INC. (NEW YORK NY)
IA
Issued 06/29/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/15/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/20/1988
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq Stock Market
N
New York Stock Exchange
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