Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Caridad? Claim Your ProfileCaridad Faunce Sperry is a financial advisor with over 4 years of experience in the industry. Caridad is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Previously, Caridad was registered with Fidelity Brokerage Services LLC. Caridad has a wide range of licenses including Series 7, Series 9, Series 10 and Series 63. Caridad is able to provide a variety of financial services to her clients, including portfolio management, educational seminars, and selection of other advisers. Caridad specializes in working with 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
FL
10/03/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (JACKSONVILLE FL)
FL
07/26/2018 - 08/23/2022
FIDELITY BROKERAGE SERVICES LLC (JACKSONVILLE FL)
BC
Issued 08/02/2018
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2021
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/20/2021
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/26/2018
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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