Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Louis? Claim Your ProfileLouis D Marx is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., in DALLAS, TX. Louis has been a registered representative in the financial services industry since 2010. Louis has a Series 7, Series 63, Series 9, Series 10, Series 4, and Series 65 license. Louis is a Registered Principal of Merrill Lynch, Pierce, Fenner & Smith Inc. The firm is a large financial services firm with over $1 trillion in assets under management. They offer a variety of services including investment management, financial planning, and retirement planning. They also provide advisory services for corporations, individuals, and investment companies.
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
TX
04/24/2014 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (DALLAS TX)
TX
03/12/2010 - 03/17/2014
FIDELITY BROKERAGE SERVICES LLC (WESTLAKE TX)
IA
Issued 04/23/2014
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/19/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/12/2018
Series 4 - Registered Options Principal Examination
BC
Issued 08/30/2012
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/26/2012
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/10/2010
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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