Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Leah? Claim Your ProfileLeah Bartley has been a registered investment advisor since 2003 and holds a Series 7 and Series 66 securities license, along with the SIE exam. Leah is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Leah works with a variety of client types, including individuals, corporations, and charitable organizations, and provides a variety of services, including portfolio management, financial planning, and pension consulting. In addition to working with clients, Leah is also involved in the community as a Real Estate proprietor.
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
ME
03/13/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PORTLAND ME)
ME
09/09/2019 - 10/19/2022
MORGAN STANLEY (BANGOR ME)
NH
11/13/2014 - 09/19/2019
VALIC FINANCIAL ADVISORS, INC. (NASHUA NH)
ME
06/26/2012 - 11/29/2012
PRIMEVEST FINANCIAL SERVICES, INC. (AUGUSTA ME)
ME
06/01/2009 - 07/16/2010
MORGAN STANLEY SMITH BARNEY (PORTLAND ME)
ME
03/26/2009 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (PORTLAND ME)
ME
09/10/2007 - 02/11/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PORTLAND ME)
ME
01/22/2007 - 08/29/2007
A. G. EDWARDS & SONS, INC. (AUBURN ME)
ME
07/10/2003 - 01/24/2007
PRUCO SECURITIES, LLC. (SOUTH PORTLAND ME)
BOTH
Issued 07/25/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/08/2003
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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