Unclaimed
Dukalion Tsapalas is an investment advisor representative at Merrill Lynch, Pierce, Fenner & Smith Inc. in New York, New York. Dukalion has been in the industry since 2023. Dukalion has passed the Series 63, Series 65, Series 7TO and SIE exams. Dukalion provides a variety of investment services to individuals and businesses, including portfolio management, financial planning, and pension consulting. Dukalion is also a registered investment advisor in New York and Texas. Dukalion has been employed at Merrill Lynch, Pierce, Fenner & Smith Inc. since September 2023. Prior to that, Dukalion worked at Northwestern Mutual Investment Services, LLC, Crowninshield Financial Research, New York City Department of Education and Babson College.
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
12/15/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NY
03/20/2023 - 07/27/2023
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (New York NY)
IA
Issued 07/24/2023
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/23/2023
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/20/2023
Series 7TO - General Securities Representative Examination
BC
Issued 09/06/2022
SIE - Securities Industry Essentials 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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