Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dwayne? Claim Your ProfileDwayne Allan Ross has been in the financial services industry since January 12, 1989. Dwayne is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in Colorado and Florida. Prior to joining Merrill Lynch, Dwayne worked for MORGAN STANLEY, CITIGROUP GLOBAL MARKETS INC., PRUDENTIAL SECURITIES INCORPORATED and DEAN WITTER REYNOLDS INC. Dwayne has a diverse background in the financial services industry with experience in both brokerage and investment advisory services. Dwayne is a highly experienced financial professional with a proven track record of success in 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.
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
FL
06/10/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PLANTATION FL)
FL
06/01/2009 - 12/20/2012
MORGAN STANLEY (PLANTATION FL)
FL
09/10/1999 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (PLANTATION FL)
NY
09/12/1994 - 09/15/1999
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
02/07/1989 - 09/15/1994
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NA
10/19/1988 - 11/12/1988
J. W. GANT & ASSOCIATES, INC.
IA
Issued 12/29/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/28/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/28/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/27/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/16/1991
Series 3 - National Commodity Futures Examination
BC
Issued 10/15/1988
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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