Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dione? Claim Your ProfileDione Luu-wong is a registered investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc.. Dione has been working in the securities industry since 1991. Dione is registered to provide investment advice and securities services in Arizona, California, Florida, Illinois, Indiana, Maryland, New York and Texas. Dione also has experience with Bank of America, N.A. . Dione offers a range of services including, but not limited to, performance measurement reports, allocation modeling, IPS, research reports and services, educational seminars, selection of other advisers, portfolio management for businesses and portfolio management for individuals.
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
09/25/2017 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SAN JOSE CA)
CA
07/12/1999 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (FREMONT CA)
CA
06/10/1993 - 07/12/1999
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
TX
05/15/1991 - 06/09/1993
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
IA
Issued 09/26/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/16/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/02/1991
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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