Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Daphne? Claim Your ProfileDaphne Peng is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., working out of the LOS ANGELES branch office. Daphne has been a registered representative in the securities industry since 2000. She has passed the Series 7, Series 63 and Series 65 examinations. Prior to joining Merrill Lynch, Pierce, Fenner & Smith Inc., Daphne worked at UBS FINANCIAL SERVICES INC. and SCOTTRADE, INC.
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
09/27/2017 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LOS ANGELES CA)
CA
03/28/2016 - 03/13/2017
UBS FINANCIAL SERVICES INC. (BREA CA)
CA
04/12/2010 - 02/18/2016
SCOTTRADE, INC. (SANTA MONICA CA)
CA
07/11/2001 - 08/17/2004
ETECH SECURITIES, INC. (PASADENA CA)
CA
08/30/2000 - 08/08/2001
U. S. PACIFIC FINANCIAL SERVICES, INC. (ALHAMBRA CA)
IA
Issued 05/09/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/04/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/09/2010
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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