Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Denise? Claim Your ProfileDenise Rodriguez is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Denise has been in the financial services industry since 1998 and has a wide range of experience. Denise is registered with the state of Maryland as an investment advisor representative and a securities agent, and also holds the Series 3, 7, 9, 10, 31, and 63 licenses.
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
MD
03/22/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (TOWSON MD)
MD
06/01/2009 - 11/05/2012
MORGAN STANLEY (HUNT VALLEY MD)
MD
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (BALTIMORE MD)
MD
02/27/2006 - 04/02/2007
MORGAN STANLEY DW INC. (BALTIMORE MD)
MD
12/08/2005 - 02/21/2006
DEUTSCHE BANK SECURITIES INC. (BALTIMORE MD)
NY
01/21/1998 - 12/05/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
IA
Issued 05/19/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/18/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/13/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/02/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/19/2011
Series 3 - National Commodity Futures Examination
BC
Issued 05/12/1999
Series 31 - Futures Managed Funds Examination
BC
Issued 01/20/1998
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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