Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mindy? Claim Your ProfileMindy Cutler is a financial advisor with over 20 years of experience in the industry. Mindy is registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and has previously worked with Wells Fargo Clearing Services, LLC and BANC of America Investment Services, Inc. Mindy has a strong track record of helping clients achieve their financial goals. Mindy holds a Series 6, 7, and 63 license, as well as the Series 65.
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
12/15/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BREA CA)
CA
08/08/2013 - 12/14/2022
WELLS FARGO CLEARING SERVICES, LLC (YORBA LINDA CA)
CA
10/23/2009 - 06/29/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SANTA ANA CA)
CA
12/04/2000 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (YORBA LINDA CA)
IA
Issued 12/01/2020
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/04/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/22/2010
Series 7 - General Securities Representative Examination
BC
Issued 12/01/2000
Series 6 - Investment Company Products/Variable Contracts 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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