Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Laurie? Claim Your ProfileLaurie Mullins is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. in DALLAS, TX. Laurie has been working in the financial industry since 1985. Previously, Laurie worked at BEAR, STEARNS & CO. INC., TUCKER, ANTHONY & R. L. DAY, INC., THOMSON MCKINNON SECURITIES INC., and SCHNEIDER, BERNET & HICKMAN, INC.. Laurie is registered with the states of Alabama, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nevada, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Pennsylvania, Rhode Island, South Carolina, Tennessee, Texas, Utah, Virginia, Washington, and Wisconsin. Laurie is licensed to provide financial services to individuals, businesses, corporations, and other entities. Laurie also provides financial planning services.
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
TX
06/16/2000 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (DALLAS TX)
NY
03/04/1988 - 05/24/2000
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NA
09/10/1985 - 04/03/1987
TUCKER, ANTHONY & R. L. DAY, INC.
NA
04/18/1984 - 08/29/1985
THOMSON MCKINNON SECURITIES INC.
NA
05/09/1984 - 02/12/1985
SCHNEIDER, BERNET & HICKMAN, INC.
BOTH
Issued 02/06/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/03/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/14/1984
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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