Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Gwenaelle? Claim Your ProfileGwenaelle Romain is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Gwenaelle has been in the industry since 2007. Gwenaelle is registered with the state of Florida and Texas to provide both brokerage and investment advisory services. Gwenaelle holds Series 7, 65 and 66 securities licenses and is a Certified Financial Planner.
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
FL
05/12/2017 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (AVENTURA FL)
FL
12/08/2009 - 02/18/2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (AVENTURA FL)
FL
07/24/2009 - 11/24/2009
CHASE INVESTMENT SERVICES CORP. (NORTH MIAMI FL)
FL
12/07/2007 - 05/13/2009
UBS FINANCIAL SERVICES INC. (AVENTURA FL)
BOTH
Issued 01/13/2017
Series 66 - Uniform Combined State Law Examination
IA
Issued 01/23/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/12/2016
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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