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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mercedes? Claim Your ProfileMercedes Nola is an active investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. in RED BANK, NJ. Mercedes holds a Series 7, 63, 66, 9 and 10 licenses and has been in the industry since December 23, 1993. Mercedes has prior experience with UBS Financial Services Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Salomon Smith Barney Inc. Mercedes is a registered investment advisor representative in New Jersey and Texas. Mercedes has specialized experience working with corporations, individuals, high-net-worth individuals, insurance companies, charitable organizations, and pension and profit sharing plans.
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
03/04/2014 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (RED BANK NJ)
NJ
11/09/2000 - 03/07/2007
UBS FINANCIAL SERVICES INC. (MANALAPAN NJ)
NY
10/22/1999 - 09/15/2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
12/22/1998 - 11/11/1999
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
08/31/1993 - 11/17/1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 01/29/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/15/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/20/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/07/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/30/1993
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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