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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Connie? Claim Your ProfileConnie Dullum has been an active financial professional since February 1994. Connie is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in Minneapolis, Minnesota and works with individuals, high-net-worth individuals, businesses, insurance companies, pension and profit sharing plans, charitable organizations, state or municipal government entities and corporations. Connie holds both Series 7 and Series 66 licenses and also specializes in Futures Managed Funds (Series 31). Connie has more than 30 years of experience working with a variety of clients in the financial 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
MN
03/29/2017 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (MINNEAPOLIS MN)
BOTH
Issued 01/30/2002
Series 66 - Uniform Combined State Law Examination
IA
Issued 12/30/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/13/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/12/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/16/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 02/07/1994
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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