Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Cheryl? Claim Your ProfileCheryl Smith is a financial advisor registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Cheryl has been in the securities industry since September 2004. Cheryl has held previous positions at Morgan Stanley & Co. Incorporated and Morgan Stanley DW Inc. Cheryl is registered with the following regulatory authorities: Financial Industry Regulatory Authority (FINRA), and the states of Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, and Wyoming. Cheryl has passed the Series 3, 7, 10, 31, 66, and SIE exams.
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
05/07/2008 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PALO ALTO CA)
CA
04/02/2007 - 04/29/2008
MORGAN STANLEY & CO. INCORPORATED (WALNUT CREEK CA)
CA
09/06/2004 - 04/02/2007
MORGAN STANLEY DW INC. (WALNUT CREEK CA)
BOTH
Issued 09/22/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/11/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/25/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/14/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 09/03/2004
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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