Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nelia? Claim Your ProfileNelia Vanessa Cruz guzman is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Nelia has been in the financial industry since 2009. Nelia specializes in portfolio management for individuals and businesses. Nelia also provides financial planning services. Nelia is registered with the Financial Industry Regulatory Authority (FINRA) and holds the Series 7, Series 63, and Series 65 licenses. Nelia is also registered with the Securities and Exchange Commission (SEC). Nelia has a strong track record of providing investment advice to clients in a variety of industries, including insurance companies, charitable organizations, high-net-worth individuals, and corporations.
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
PR
01/07/2014 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (GUAYNABO PR)
PR
08/12/2009 - 09/20/2012
UBS FINANCIAL SERVICES INC. (SAN JUAN PR)
PR
08/12/2009 - 09/20/2012
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO (SAN JUAN PR)
IA
Issued 12/07/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/29/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/11/2009
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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