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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas E Moynihan is a financial advisor registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Douglas has been in the industry since 1995 and has worked with several firms before Merrill Lynch. Douglas has a wide range of experience and holds several licenses, including Series 7, Series 6, and Series 63. Douglas is registered in multiple states, including New York, New Jersey, Texas, and others. Douglas specializes in advising individual investors, corporations, charitable organizations, and other client types.
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
NY
01/03/2014 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LATHAM NY)
NY
10/20/2004 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (LATHAM NY)
NY
09/25/2000 - 10/20/2004
QUICK & REILLY, INC. (NEW YORK NY)
NY
03/02/1999 - 11/02/2000
FLEET ENTERPRISES, INC. (NEW YORK NY)
MA
01/03/1995 - 09/25/2000
FIS SECURITIES, INC. (BOSTON MA)
IA
Issued 06/23/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/16/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/16/1997
Series 7 - General Securities Representative Examination
BC
Issued 08/04/1993
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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