Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Diane? Claim Your ProfileDiane Gentile-shapcott is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. She has been in the industry since 2000 and has experience working with a variety of clients, including individuals, corporations, and institutions. Diane holds the Series 6, 7, and 63 licenses, as well as the SIE exam. Diane has been with Merrill Lynch since 2009. Prior to that she worked at BANC OF AMERICA INVESTMENT SERVICES, INC. and WACHOVIA SECURITIES, LLC.
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
PA
10/23/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (WAYNE PA)
NJ
03/04/2009 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (PRINCETON NJ)
PA
10/01/2000 - 10/07/2008
WACHOVIA SECURITIES, LLC (YARDLEY PA)
NC
03/08/2000 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
BC
Issued 03/20/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/28/2011
Series 7 - General Securities Representative Examination
BC
Issued 03/07/2000
Series 6 - Investment Company Products/Variable Contracts 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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