Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Courtney? Claim Your ProfileCourtney Kwas is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Incorporated. Courtney has been in the financial services industry since 1992 and has a strong track record of providing investment advice to a wide range of clients, including high-net-worth individuals, corporations, and institutions. Courtney holds the Series 7, Series 63, and Series 65 licenses, and has a Bachelor of Arts degree in Economics from the University of Pennsylvania. Courtney is also a member of the National Association of Personal Financial Advisors (NAPFA). Courtney is committed to providing her clients with personalized financial advice and investment strategies that are tailored to their individual needs.
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
05/26/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NY
09/15/2004 - 05/14/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
12/24/1996 - 09/23/2004
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
PA
03/29/1993 - 12/09/1996
JANNEY MONTGOMERY SCOTT INC. (PHILADELPHIA PA)
NY
06/04/1992 - 03/26/1993
FIRST ALBANY CORPORATION (NEW YORK NY)
NY
02/05/1992 - 05/13/1992
STRATTON OAKMONT INC. (LAKE SUCCESS NY)
IA
Issued 2/12/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 3/12/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 2/4/1992
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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