Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mary? Claim Your ProfileMary Smith is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. located in Indianapolis, Indiana. Mary has been in the financial services industry since 2007. Mary is registered with FINRA and the states of Indiana and Texas. Mary is licensed to offer a variety of financial services, including investment advice, securities brokerage, and insurance products. Prior to joining Merrill Lynch, Pierce, Fenner & Smith Inc., Mary worked for Morgan Stanley & Co. Incorporated and Stifel, Nicolaus & Company, Incorporated. Mary is a dedicated financial professional with a proven track record of success.
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
IN
06/18/2014 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (INDIANAPOLIS IN)
IN
06/01/2009 - 05/29/2014
MORGAN STANLEY (INDIANAPOLIS IN)
IN
10/11/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (INDIANAPOLIS IN)
IN
06/12/2007 - 09/17/2007
STIFEL, NICOLAUS & COMPANY, INCORPORATED (INDIANAPOLIS IN)
BOTH
Issued 12/02/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/27/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/17/2011
Series 31 - Futures Managed Funds Examination
BC
Issued 06/11/2007
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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