Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Julie? Claim Your ProfileJulie Small is an active financial advisor registered in 26 states and licensed by FINRA. Julie has over 30 years of experience in the industry, holding registrations with Merrill Lynch, Pierce, Fenner & Smith Inc. Since 2011, Julie has also been registered with Bank of America, N.A. in Roseville, CA. Julie Small has passed the Series 63, Series 65, Series 7 and SIE exams. She is a licensed investment advisor representative (IAR) and a registered representative (RR). Julie Small specializes in advising individuals, corporations, high-net-worth individuals, charitable organizations, insurance companies, banking or thrift institutions, pension and profit-sharing plans, and state or municipal government entities.
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
01/03/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (ROSEVILLE CA)
IA
Issued 10/19/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/27/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/08/1992
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
Not sure Julie Small is the right advisor for you? Invested Better is here to help.
