Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Frances? Claim Your ProfileFrances Pascua is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., registered to provide investment advice in California and Texas. Frances has been in the industry since 2014 and has a variety of licenses and certifications, including Series 66, Series 7, Series 9, Series 10, and SIE. Frances is a member of the Investments and Wealth Institute Conference Committee and is involved in various initiatives focused on financial planning and investment management. Frances has extensive experience working with a wide range of clients, including high-net-worth individuals, corporations, and institutional investors. Frances specializes in helping clients develop personalized investment strategies to meet 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.
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
CA
08/14/2015 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SAN DIEGO CA)
BOTH
Issued 12/5/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 6/10/2024
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 3/29/2024
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/24/2014
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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