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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carlo? Claim Your ProfileCarlo Zanoni is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc. with over 20 years of experience in the financial industry. Carlo has held registrations in several states, including Texas, Maine, New York and Florida. Carlo holds a Series 6, 7, 63, 66, 9, and 10 license and has passed the SIE exam. Carlo specializes in providing financial advice to individuals, businesses, pension plans, corporations and other investment advisers.
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
ME
06/15/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LEWISTON ME)
ME
10/20/2004 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (BRUNSWICK ME)
NY
05/30/2003 - 10/20/2004
QUICK & REILLY, INC. (NEW YORK NY)
BOTH
Issued 1/23/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 6/9/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 2/29/2020
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 4/11/2019
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/31/2005
Series 7 - General Securities Representative Examination
BC
Issued 5/29/2003
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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