Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charlotte? Claim Your ProfileCharlotte Ly is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc., with over 20 years of experience in the financial services industry. Charlotte has a strong track record of providing clients with investment advice and guidance. Charlotte is a Series 7 and Series 66 license holder, and has passed the Securities Industry Essentials Examination. Charlotte has also been registered with the state of North Carolina since 2010. Charlotte's experience at BANC of America Securities LLC prior to joining Merrill Lynch, Pierce, Fenner & Smith Inc. gives her a well-rounded understanding of the industry.
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
NY
11/01/2010 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NY
08/06/2002 - 11/01/2010
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
BOTH
Issued 10/21/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/05/2002
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
Not sure Charlotte Ly is the right advisor for you? Invested Better is here to help.
