Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Elizabeth? Claim Your ProfileElizabeth Rose is a registered investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc., where Elizabeth has been employed since May 2019. Elizabeth has been in the industry since March 2002. Previously, Elizabeth was a financial advisor at BofA Securities, Inc. Elizabeth is licensed in New York. Elizabeth holds the Series 7, Series 21, Series 25, Series 63 and Series 65 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
FL
05/10/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CORAL GABLES FL)
NY
05/10/2019 - 06/28/2019
BOFA SECURITIES, INC. (NEW YORK NY)
NY
10/08/2015 - 05/10/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
09/22/2008 - 06/25/2015
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
12/17/2007 - 09/22/2008
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
09/06/2005 - 01/08/2008
VAN DER MOOLEN SPECIALISTS USA, LLC (NEW YORK NY)
NY
06/11/2002 - 08/26/2005
LABRANCHE & CO. LLC (NEW YORK NY)
NY
06/04/2001 - 08/27/2001
LABRANCHE & CO. LLC (NEW YORK NY)
NY
10/01/2000 - 01/26/2001
ROBB PECK MCCOOEY SPECIALIST CORPORATION (NEW YORK NY)
IA
Issued 05/10/2022
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/30/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/24/2008
Series 7 - General Securities Representative Examination
BC
Issued 07/24/2003
Series 21 - NYSE Front Line Specialist Clerk
BC
Issued 10/04/2002
Series 25 - NYSE Trading Assistant 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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