Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dorothy? Claim Your ProfileDorothy Hartnett is an investment professional with over 29 years of experience. Dorothy currently works at Merrill Lynch, Pierce, Fenner & Smith Inc., where they have been employed since November 1998. Dorothy has a strong background in securities and investments. Previously, Dorothy held positions at Paine Webber Incorporated and Kidder, Peabody & Co. Incorporated. Dorothy holds Series 2, 7, 63, and 65 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
RI
06/14/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PROVIDENCE RI)
NJ
01/28/1995 - 11/18/1998
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
11/09/1994 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
BC
Issued 10/7/1994
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 1/22/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/8/1994
Series 7 - General Securities Representative Examination
BC
Issued 4/30/1992
Series 2 - Non-Member General Securities 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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