Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Doris? Claim Your ProfileDoris Utterback is a financial advisor with over 28 years of experience in the financial services industry. Doris is currently registered with Raymond James & Associates, Inc. Doris has a strong track record of providing comprehensive financial planning and investment management services to individuals, families, and businesses. Doris holds the Series 7 and Series 66 licenses, and has held various positions at a number of financial institutions. Doris is committed to helping clients achieve their financial goals.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
Please see note in schedule d - miscellaneous
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
AL
09/12/2023 - Present
Raymond James & Associates, Inc. (TUSCALOOSA AL)
AL
09/05/2008 - 06/26/2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BIRMINGHAM AL)
AL
05/14/2007 - 09/19/2007
CAMBRIDGE INVESTMENT RESEARCH, INC. (HOOVER AL)
NY
01/14/1997 - 05/19/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
09/15/1994 - 11/05/1996
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NY
05/26/1992 - 04/22/1993
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
NY
08/13/1990 - 05/14/1992
LEHMAN BROTHERS INC. (NEW YORK NY)
CO
02/27/1990 - 07/31/1990
THE STUART-JAMES COMPANY, INCORPORATED (DENVER CO)
BOTH
Issued 05/18/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/09/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/24/1990
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Doris Utterback is the right advisor for you? Invested Better is here to help.
