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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mami? Claim Your ProfileMami Uenobo is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc.. Mami has been working in the financial industry since 2006. Mami holds Series 63, 66, 7 and SIE licenses. Mami also provides advisory services to insurance companies, charitable organizations, high-net-worth individuals, pension and profit sharing plans, corporations or other businesses, individuals other than high-net-worth, and state or municipal government entities. Mami was previously registered with LPL Financial LLC and Unionbanc Investment Services, LLC.
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
06/29/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SAN JOSE CA)
CA
02/09/2018 - 06/03/2021
LPL FINANCIAL LLC (SAN FRANCISCO CA)
CA
04/11/2006 - 02/12/2018
UNIONBANC INVESTMENT SERVICES, LLC (SAN FRANCISCO CA)
BOTH
Issued 03/31/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/24/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/10/2006
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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