Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Colleen? Claim Your ProfileColleen Elizabeth Cusick is a financial advisor registered with Merrill Lynch, Pierce, Fenner & Smith Inc. since December 1983. Colleen has a diverse background in the financial services industry and has been actively registered for over 38 years. Colleen holds Series 63, 66, 7, 9, 10 and 31 licenses. Colleen has been registered with the state of California as an investment advisor representative since July 1997.
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
04/02/1984 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (WALNUT CREEK CA)
BOTH
Issued 08/14/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/14/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/11/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/04/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/06/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 02/18/1984
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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