Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Elena? Claim Your ProfileElena Stein is a registered investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Elena is based in DALLAS, TX and has been in the industry since 2005. Elena has been registered with Merrill Lynch, Pierce, Fenner & Smith Inc. since 2009. Elena has also held previous registrations with SMH CAPITAL INC. Elena holds the Series 63, Series 65, Series 7, Series 10, Series 24 and SIE licenses.
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
TX
01/11/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (DALLAS TX)
TX
07/20/2005 - 05/18/2009
SMH CAPITAL INC. (DALLAS TX)
IA
Issued 11/09/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/10/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/10/2008
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/18/2005
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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