Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lea? Claim Your ProfileLea Garraffa is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Lea has been working in the financial services industry since 2001. Lea is a registered representative in Arizona, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Missouri, Nevada, New Hampshire, New Jersey, New York, North Carolina, Ohio, Oregon, Pennsylvania, Rhode Island, South Carolina, Tennessee, Texas, Virginia, Washington and Wisconsin. Lea has also held previous positions with EF Legacy Securities, LLC, Sanders Morris Harris LLC, Morgan Stanley, Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., UBS International Inc., UBS PaineWebber Inc. and J.C. Bradford & Co.. Lea is a licensed General Securities Representative, with Series 7 and Series 66 licenses. Lea is also a licensed General Securities Sales Supervisor with a Series 9 license. Lea's specialties include investment advisory 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
CT
06/05/2018 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (GREENWICH CT)
MA
04/22/2016 - 08/08/2017
EF LEGACY SECURITIES, LLC (Foxboro MA)
MA
10/21/2014 - 04/22/2016
SANDERS MORRIS HARRIS LLC (Foxboro MA)
NY
06/01/2009 - 11/11/2014
MORGAN STANLEY (PURCHASE NY)
NY
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (PURCHASE NY)
CT
10/11/2005 - 04/02/2007
MORGAN STANLEY DW INC. (GREENWICH CT)
NY
06/03/2002 - 02/23/2005
UBS INTERNATIONAL INC. (NEW YORK NY)
NJ
12/12/2001 - 06/03/2002
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
NJ
08/14/2000 - 10/04/2001
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
NY
02/29/2000 - 08/14/2000
J.C. BRADFORD & CO. (NEW YORK NY)
NJ
11/22/1999 - 02/14/2000
DLJDIRECT INC. (JERSEY CITY NJ)
BOTH
Issued 07/01/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/20/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/22/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/20/1999
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 Lea Garraffa is the right advisor for you? Invested Better is here to help.
