Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Louis? Claim Your ProfileLouis Currie is a financial advisor registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Louis has been in the industry since September 2014, holding registrations in multiple states. Louis has worked at Merrill Lynch, Pierce, Fenner & Smith Inc. since July 2009. Louis is a General Securities Principal and has the Series 24, Series 4, Series 10, and Series 9 exams. Louis also has the Series 66 and Series 7 exams. Louis has a state exam category with Series 66 and product exam categories with the SIE and Series 7 exams. Louis is registered as an Investment Advisor Representative in New Jersey and Texas.
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
NJ
08/21/2024 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PENNINGTON NJ)
BOTH
Issued 02/19/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/12/2024
Series 24 - General Securities Principal Examination
BC
Issued 01/09/2023
Series 4 - Registered Options Principal Examination
BC
Issued 10/07/2019
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/26/2019
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/11/2014
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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