Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Catherine? Claim Your ProfileCatherine Campos is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., with over 15 years of experience in the financial services industry. Catherine Campos is registered with the Financial Industry Regulatory Authority (FINRA) and is licensed to conduct securities business in multiple states. Catherine Campos offers a range of financial services, including portfolio management for individuals and businesses, pension consulting, and educational seminars. Catherine Campos has been registered with Merrill Lynch since 2011 and previously worked with Morgan Stanley Smith Barney and Bank of America Investment Services, Inc.
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
CA
10/26/2011 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LOS ANGELES CA)
CA
11/16/2009 - 12/23/2010
MORGAN STANLEY SMITH BARNEY (LOS ANGELES CA)
CA
10/23/2009 - 11/02/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LOS ANGELES CA)
CA
05/10/2004 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (LOS ANGELES CA)
BOTH
Issued 01/28/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/11/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/31/2009
Series 7 - General Securities Representative Examination
BC
Issued 05/08/2004
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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