Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Elaine? Claim Your ProfileElaine Thompson-perez has been in the financial services industry since 2012. She is currently registered with Mml Investors Services, LLC in New York, New York. Elaine has worked with many financial institutions including Morgan Stanley, AXA Advisors, LLC, Principal Securities, Inc., and Transamerica Financial Advisors, Inc. Elaine is a Series 7, 6, 63, 65, SIE and Series 99TO licensed representative. Elaine specializes in providing asset allocation programs, financial planning, pension consulting, educational seminars and portfolio management for businesses and individuals.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
Asset allocation programs
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.
A percentage of the total value of assets under management is charged.
Solicitors fees
1
2
NY
02/13/2024 - Present
MML Investors Services, LLC (NEW YORK NY)
NY
06/16/2023 - 10/19/2023
NYLIFE SECURITIES LLC (NEW YORK NY)
NY
05/26/2022 - 04/21/2023
MORGAN STANLEY (New York NY)
NY
03/10/2020 - 02/07/2022
MORGAN STANLEY (PURCHASE NY)
NY
01/25/2018 - 09/30/2019
MORGAN STANLEY (NEW YORK NY)
CA
07/18/2016 - 01/29/2018
PRINCIPAL SECURITIES, INC. (WALNUT CREEK CA)
CA
11/20/2015 - 06/01/2016
AXA ADVISORS, LLC (WALNUT CREEK CA)
CA
03/18/2015 - 10/30/2015
TRANSAMERICA FINANCIAL ADVISORS, INC (MODESTO CA)
CA
10/30/2013 - 02/27/2015
AMERITAS INVESTMENT CORP. (SAN RAMON CA)
CA
03/29/2011 - 10/12/2011
LIBERTY GROUP, LLC (OAKLAND CA)
CA
11/30/2009 - 03/10/2011
METLIFE SECURITIES INC. (WALNUT CREEK CA)
CA
10/30/2007 - 07/14/2008
MML INVESTORS SERVICES, INC. (WALNUT CREEK CA)
IA
Issued 6/4/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/19/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 7/1/2022
Series 99TO - Operations Professional Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 8/13/2015
Series 7 - General Securities Representative Examination
BC
Issued 10/29/2007
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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