Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Claire? Claim Your ProfileClaire Rodrigue Cooney is a financial advisor at Raymond James & Associates, Inc. Claire has over 30 years of experience in the financial services industry. She has held previous positions at Wells Fargo Advisors, LLC, Advest, Inc., Dean Witter Reynolds Inc., Smith Barney Inc., Lehman Brothers Inc., Brown & Company Securities Corporation, and Bear, Stearns & Co. Inc. Claire is a Certified Financial Planner and holds Series 3, 7, 8, 9, 10, 63, and 65 licenses. She specializes in providing financial planning, portfolio management, and investment advisory services to individuals, families, and businesses. Claire is committed to helping her clients achieve their financial goals.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
Please see note in schedule d - miscellaneous
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
01/03/2014 - Present
Raymond James & Associates, Inc. (PORTLAND ME)
ME
02/23/2001 - 01/08/2014
WELLS FARGO ADVISORS, LLC (PORTLAND ME)
CT
06/08/1998 - 03/19/2001
ADVEST, INC. (HARTFORD CT)
NY
12/01/1995 - 05/18/1998
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NY
07/31/1993 - 08/22/1994
SMITH BARNEY INC. (NEW YORK NY)
NY
11/07/1990 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
MA
04/07/1987 - 04/05/1990
BROWN & COMPANY SECURITIES CORPORATION (BOSTON MA)
NA
10/24/1986 - 03/05/1987
BEAR, STEARNS & CO. INC.
IA
Issued 02/17/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/01/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/25/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/25/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/08/1989
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/21/1991
Series 3 - National Commodity Futures Examination
BC
Issued 10/18/1986
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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