Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Erica? Claim Your ProfileErica Dombroff is a registered investment advisor with over 20 years of experience in the financial services industry. Erica is currently employed with Morgan Stanley and holds registrations in multiple states including Connecticut, New Jersey, New York, and Texas. Prior to joining Morgan Stanley, Erica has worked with J.P. Morgan Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley Smith Barney, and Citigroup Global Markets Inc.. Erica has a strong track record of success in providing investment advice to individuals, corporations, and institutions. Erica has passed the Series 3, 7, 9, 10 and 66 exams and has a strong understanding of the financial markets. Erica is committed to providing her clients with personalized service and helping them 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.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NY
10/29/2020 - Present
Morgan Stanley (New York NY)
NY
04/17/2018 - 07/07/2020
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
NY
06/30/2012 - 04/17/2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
06/01/2009 - 07/12/2012
MORGAN STANLEY SMITH BARNEY (NEW YORK NY)
NY
08/19/2005 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
CT
06/07/2002 - 08/05/2005
ADVEST, INC. (HARTFORD CT)
NY
06/05/2001 - 06/07/2002
LEBENTHAL & CO., INC. (NEW YORK NY)
BOTH
Issued 09/25/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/02/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/30/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/01/2008
Series 3 - National Commodity Futures Examination
BC
Issued 06/04/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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