Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lindee? Claim Your ProfileLindee Brooks Shaw is a financial advisor registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Lindee has been a registered representative for over 23 years and has experience in various investment areas, including retirement planning, investment management, and portfolio management. Lindee is also a registered investment advisor (IA) and has been serving clients in this capacity for over 14 years. Lindee holds Series 7, 9, 10, 66 licenses and the Securities Industry Essentials Exam. She is registered in 53 states and is currently working with the firm in Jacksonville, FL. In addition to her work as a financial advisor, Lindee is also the owner/manager of Taphouse Graphics, a graphic design business.
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
FL
07/27/2020 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (JACKSONVILLE FL)
CA
03/18/2008 - 01/09/2012
UBS FINANCIAL SERVICES INC. (IRVINE CA)
CA
12/24/1997 - 09/25/2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEWPORT BEACH CA)
BOTH
Issued 07/27/2020
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/29/2020
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/17/2019
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/05/2019
Series 7TO - General Securities Representative Examination
BC
Issued 07/29/2019
SIE - Securities Industry Essentials Examination
BC
Issued 12/23/1997
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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