Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Efrain? Claim Your ProfileEfrain Joel Pantoja is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Efrain has been in the industry since February 5, 2019. Efrain is registered with the Securities and Exchange Commission (SEC) and with the Financial Industry Regulatory Authority (FINRA). Efrain is also registered in 53 states and two territories. Efrain has a Series 7, Series 63, and Series 66 license. Efrain specializes in providing investment advice to individuals, businesses, insurance companies, charitable organizations, and pension and profit-sharing plans. Efrain is committed to providing his clients with the highest level of service and expertise.
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
10/14/2020 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (JACKSONVILLE FL)
BOTH
Issued 11/24/2020
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/13/2019
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/06/2019
Series 7TO - General Securities Representative Examination
BC
Issued 01/04/2019
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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