Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lauren? Claim Your ProfileLauren Rivera is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc. Lauren has been in the financial services industry since 2020 and has experience working with both individuals and businesses. Lauren is registered to provide investment advice in New York and Texas. She is also a registered representative of Merrill Lynch, Pierce, Fenner & Smith Inc. Lauren holds the Series 63, 66, 7TO, 9 and 10 licenses.
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
NY
11/24/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (GARDEN CITY NY)
NY
12/16/2020 - 06/15/2021
EQUITABLE ADVISORS, LLC (WOODBURY NY)
BOTH
Issued 11/15/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/12/2021
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/01/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/10/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/16/2020
Series 7TO - General Securities Representative Examination
BC
Issued 10/22/2020
SIE - Securities Industry Essentials 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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