Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Maria? Claim Your ProfileMaria Recto is a financial advisor with over 20 years of experience in the financial services industry. Maria currently works at Robert W. Baird & Co. Inc. and has held previous positions at LPL Financial LLC, Zions Direct, Inc., Morgan Stanley Smith Barney, and Citigroup Global Markets Inc. Maria is registered to provide investment advisory services in Arizona, California, Colorado, Connecticut, Florida, Georgia, Idaho, Illinois, Maryland, Michigan, Nevada, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, Tennessee, Texas, Utah, Virginia, Washington, and Wyoming. Maria has also passed the Series 63, 66, 7, 9, 10, and SIE exams. Maria offers a range of advisory services including financial planning, pension consulting, educational seminars, publication of periodicals, selection of other advisers, portfolio management for businesses, individuals, investment companies, and pooled investment vehicles.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
Strategic management for diversified investment portfolios.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
Hard dollar payments for research
1
2
UT
10/09/2015 - Present
Robert W. Baird & Co. Inc. (SALT LAKE CITY UT)
UT
02/20/2015 - 10/12/2015
LPL FINANCIAL LLC (OGDEN UT)
UT
05/12/2011 - 02/20/2015
ZIONS DIRECT, INC. (SOUTH OGDEN UT)
UT
06/01/2009 - 05/20/2011
MORGAN STANLEY SMITH BARNEY (OGDEN UT)
UT
06/05/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (OGDEN UT)
RI
12/15/1999 - 12/03/2004
FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)
BOTH
Issued 08/24/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/21/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/03/2018
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/17/2018
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/14/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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