Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Gloria lee? Claim Your ProfileGloria Katona is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., working out of the Pennington, New Jersey office. Gloria has over 30 years of experience in the financial services industry and is registered to offer both broker-dealer and investment advisory services. She is a registered representative in New Jersey and Texas. Gloria has a strong track record of providing comprehensive financial planning and investment management services to a wide range of clients, including high-net-worth individuals, families, businesses, and institutions. Gloria's commitment to providing personalized service and building long-term relationships with her clients has helped her to earn a reputation as a trusted advisor in the community.
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
NJ
08/23/2019 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PENNINGTON NJ)
NY
06/24/2014 - 12/15/2014
MAXIM GROUP LLC (NEW YORK NY)
NY
03/07/2011 - 07/19/2012
BREAN MURRAY, CARRET & CO., LLC. (NEW YORK NY)
NY
01/28/2009 - 02/25/2010
CARIS & COMPANY, INC. (NEW YORK NY)
PA
09/22/2008 - 12/02/2008
BARCLAYS CAPITAL INC. (PHILADELPHIA PA)
PA
09/02/2005 - 09/22/2008
LEHMAN BROTHERS INC. (PHILADELPHIA PA)
NC
07/01/2003 - 06/28/2005
WACHOVIA CAPITAL MARKETS, LLC (CHARLOTTE NC)
MO
10/01/1999 - 07/01/2003
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NC
04/05/1990 - 10/01/1999
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
NY
10/26/1984 - 08/16/1989
CS FIRST BOSTON CORPORATION (NEW YORK NY)
BOTH
Issued 08/13/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/14/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/20/1984
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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