Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Gene? Claim Your ProfileGene Croom is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Gene has been in the industry since 1998. Gene is registered in North Carolina and Texas. Gene has a wide range of experience working with individual, high net worth, business, and institutional clients. Gene is also a registered principal. Gene has extensive experience working with various investment products including fixed income, equities, and mutual funds.
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
NC
09/13/2007 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (WILMINGTON NC)
IN
01/27/2004 - 04/30/2004
JEFFERSON PILOT SECURITIES CORPORATION (FORT WAYNE IN)
VA
11/11/2003 - 01/29/2004
CAPITAL BROKERAGE CORPORATION (GLEN ALLEN VA)
TX
01/07/2000 - 10/31/2003
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
NY
01/27/1998 - 12/22/1999
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 02/23/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/05/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/01/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/02/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 07/16/2019
Series 31 - Futures Managed Funds Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/23/1998
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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