Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lea? Claim Your ProfileLea Dela Cruz Wada is a financial advisor registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Lea has been in the industry since 2017. Lea holds FINRA Series 6, 7, 63, 66 and SIE licenses. Lea also holds licenses in Arizona, California, Florida, Nevada, North Dakota, Oregon, Texas and Washington. Prior to joining Merrill Lynch, Pierce, Fenner & Smith Inc., Lea worked for Wells Fargo Clearing Services, LLC. Lea is a specialist in investment advisory, financial planning, portfolio management, and estate planning. Lea provides personalized financial advice to individuals, families, and businesses.
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
03/18/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (ANAHEIM CA)
CA
02/08/2017 - 10/29/2019
WELLS FARGO CLEARING SERVICES, LLC (LONG BEACH CA)
BOTH
Issued 02/08/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/17/2017
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/22/2020
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/08/2017
Series 6 - Investment Company Products/Variable Contracts 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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