Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dorothy? Claim Your ProfileDorothy Litos is a registered investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. She has been in the industry since March 9, 2000, and has a broad range of experience, including investment advisory and brokerage services. Dorothy has held previous positions at J.P. MORGAN SECURITIES LLC, J.P. MORGAN SECURITIES INC., DEAN WITTER REYNOLDS INC., and PRESIDENTIAL BROKERAGE, INC. Dorothy holds several licenses, including Series 7, 9, 10, 24, 31, 63, and 66. She is registered to offer investment advisory and brokerage services in 53 states and the District of Columbia. Dorothy also has experience in providing financial planning, portfolio management for businesses and individuals, and pension consulting.
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
TX
05/26/2011 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (MCKINNEY TX)
CA
10/01/2008 - 04/01/2011
J.P. MORGAN SECURITIES LLC (LOS ANGELES CA)
CA
09/27/2000 - 10/01/2008
J.P. MORGAN SECURITIES INC. (LOS ANGELES CA)
NY
06/20/2000 - 10/04/2000
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
TX
12/01/1998 - 05/03/1999
PRESIDENTIAL BROKERAGE, INC. (AUSTIN TX)
BOTH
Issued 10/01/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/11/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 07/19/2004
Series 4 - Registered Options Principal Examination
BC
Issued 10/02/2002
Series 24 - General Securities Principal Examination
BC
Issued 12/18/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/08/2014
Series 31 - Futures Managed Funds Examination
BC
Issued 11/27/1998
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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