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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Paul? Claim Your ProfilePaul Wargnier is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc.. Paul Wargnier has been in the industry since 2006. Prior to joining Merrill Lynch, Pierce, Fenner & Smith Inc., Paul Wargnier was employed by Wells Fargo Investments, LLC, Wells Fargo Securities Inc., BT Alex. Brown Incorporated, UBS Securities LLC and D. A. Campbell Company Inc.. Paul Wargnier has a total of 7 approved SRO registrations, 1 approved FINRA registration, 9 approved state registrations and 2 approved IA state registrations. Paul Wargnier is registered with the following states: California, Colorado, Nebraska, Nevada, New York, North Carolina, Oregon, Texas and Washington.
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
OR
09/18/2019 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PORTLAND OR)
CA
05/02/2001 - 05/04/2005
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
CA
09/01/2000 - 05/02/2001
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
MD
09/26/1996 - 11/04/1998
BT ALEX. BROWN INCORPORATED (BALTIMORE MD)
NY
08/09/1995 - 09/26/1996
UBS SECURITIES LLC (NEW YORK NY)
CA
11/30/1987 - 01/30/1991
D. A. CAMPBELL COMPANY INC. (LOS ANGELES CA)
NA
08/20/1987 - 09/21/1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BOTH
Issued 05/09/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/09/1996
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 01/05/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/22/1996
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/18/2017
Series 7 - General Securities Representative Examination
BC
Issued 10/25/1995
Series 16 - NYSE Supervisory Analyst 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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