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 registered representative of Merrill Lynch, Pierce, Fenner & Smith Inc. Frances has been in the securities industry since 2014. Frances holds the following licenses: Series 66, Series 7, Series 9, Series 10, and SIE. Frances specializes in providing portfolio management services to individuals, corporations, businesses, and charitable organizations. Frances is also a member of the Investments and Wealth Institute Conference Committee. Frances is registered with the state of California and Texas and has been providing financial advice to clients for nine years.
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 12/05/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/10/2024
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/29/2024
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
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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