Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Denise? Claim Your ProfileDenise Soto is a registered representative with Wells Fargo Securities, LLC. Denise has been working in the financial services industry since 2008 and has experience in a wide range of financial products and services. Denise is a Series 7 and 66 licensed representative with a wide range of certifications including the Series 52, Series 6, Series 22, Series 79, Series 82 and Series 99. Denise is registered in all 50 states, as well as the District of Columbia and Puerto Rico. Denise is committed to providing her clients with the highest level of personalized service.
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.
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.
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2
NY
03/11/2021 - Present
Wells Fargo Securities, LLC (New York NY)
NY
01/21/2015 - 03/01/2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
FL
05/08/2014 - 07/08/2014
RBC CAPITAL MARKETS, LLC (MIAMI FL)
FL
11/21/2013 - 05/13/2014
CREDIT SUISSE SECURITIES (USA) LLC (MIAMI FL)
NY
08/31/2011 - 06/17/2013
GOLDMAN, SACHS & CO. (NEW YORK NY)
NY
09/22/2008 - 08/31/2011
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
09/19/2008 - 09/22/2008
LEHMAN BROTHERS INC. (NEW YORK NY)
BOTH
Issued 05/30/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/08/2024
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 01/02/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/18/2008
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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