Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you George? Claim Your ProfileGeorge Edwin Smith is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. George has been in the financial services industry for over 37 years, and has experience working with individuals, high-net-worth individuals, businesses, corporations, pension and profit-sharing plans, insurance companies, charitable organizations, state or municipal government entities, and banking or thrift institutions. George holds a Certified Financial Planner designation. In addition to his work at Merrill Lynch, George also owns a limited liability company, Midtown Chocolatiers, which is not investment-related.
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
MD
10/10/2008 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BEL AIR MD)
MD
09/30/2005 - 10/24/2008
FERRIS, BAKER WATTS INCORPORATED (BEL AIR MD)
NY
11/17/1995 - 10/03/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
07/24/1987 - 11/29/1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
05/07/1986 - 07/13/1987
AMERICAN EXPRESS FINANCIAL ADVISORS INC.
NA
07/25/1985 - 05/13/1986
FINANCIAL PLANNERS EQUITY CORPORATION
IA
Issued 09/29/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/14/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/10/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/02/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 03/15/1986
Series 7 - General Securities Representative Examination
BC
Issued 07/24/1985
Series 6 - Investment Company Products/Variable Contracts 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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