Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Patricia? Claim Your ProfilePatricia Cavicchia is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Patricia has been in the securities industry for over 35 years. She is a registered representative in 38 states and has a Series 7, Series 9, Series 10, Series 24, and Series 63. Patricia previously worked with Salomon Smith Barney Inc, EGS Securities Corp, and Smith Barney Shearson Inc. Patricia is a highly experienced professional who is dedicated to providing her clients with personalized financial advice.
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
CT
09/01/2000 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (GREENWICH CT)
NY
06/09/1998 - 09/14/2000
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
09/09/1993 - 07/22/1998
EGS SECURITIES CORP. (NEW YORK NY)
NY
05/29/1990 - 08/04/1993
SMITH BARNEY SHEARSON INC. (NEW YORK NY)
NY
06/18/1986 - 04/16/1990
SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)
BOTH
Issued 10/21/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/28/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/26/1993
Series 24 - General Securities Principal Examination
BC
Issued 12/20/1990
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/17/1986
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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