Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Louis? Claim Your ProfileLouis Berlin is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Louis has been in the industry since 1980. Louis is registered with the state of Nevada and has been a registered representative with Merrill Lynch for over 16 years. Louis has experience in providing financial advice to individuals and businesses. Louis's clients include high-net-worth individuals, corporations, charitable organizations, and pension plans.
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
NV
01/14/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LAS VEGAS NV)
CA
08/29/2008 - 01/19/2016
UBS FINANCIAL SERVICES INC. (IRVINE CA)
CA
05/13/1997 - 09/03/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LAGUNA HILLS CA)
NJ
05/04/1994 - 05/13/1997
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
CA
07/28/1989 - 05/12/1994
SUTRO & CO. INCORPORATED (SAN FRANCISCO CA)
NY
07/08/1987 - 08/15/1989
PRUDENTIAL-BACHE SECURITIES INC. (NEW YORK NY)
NA
08/15/1984 - 07/17/1987
DREXEL BURNHAM LAMBERT INCORPORATED
NA
03/27/1980 - 05/13/1985
E. F. HUTTON & COMPANY INC
IA
Issued 11/15/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/11/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/02/1989
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/15/1980
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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