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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lesley? Claim Your ProfileLesley Sy is an active investment advisor representative registered with Merrill Lynch, Pierce, Fenner & Smith Inc., with licenses in 29 states and both Broker-Dealer and Investment Advisor licenses. She is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc., and has been in the industry since November 2005. Lesley Sy focuses on providing financial and investment advice to individuals, businesses, investment companies, and high-net-worth clients. She specializes in portfolio management, performance measurement, allocation modeling, and investment policy statements. Lesley Sy offers education seminars and services, including researching reports and services, and she assists clients in selecting other advisors.
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
10/13/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SAN FRANCISCO CA)
BOTH
Issued 01/18/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/10/2005
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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