Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Paula? Claim Your ProfilePaula Dowling is an investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Paula has been in the industry since 1989. Paula has a Series 7, Series 10, Series 24, Series 63 and Series 65 license. Paula is registered with the state of Texas. Prior to joining Merrill Lynch, Pierce, Fenner & Smith Inc. Paula was registered with U.S. Bancorp Investments, Inc., Citigroup Global Markets Inc., Dain Rauscher Incorporated, Everen Securities, Inc., Kemper Clearing Corp., J.E. Liss & Company, Inc., and Thomson McKinnon Securities Inc. Paula specializes in portfolio management for individuals, portfolio management for businesses, and portfolio management for charitable organizations.
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
IL
03/06/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NORTHBROOK IL)
IL
01/01/2010 - 01/27/2023
U.S. BANCORP INVESTMENTS, INC. (ROCKFORD IL)
IL
04/07/1999 - 10/20/2008
CITIGROUP GLOBAL MARKETS INC. (ROCKFORD IL)
NY
03/02/1998 - 03/25/1999
DAIN RAUSCHER INCORPORATED (NEW YORK NY)
NA
04/30/1996 - 03/02/1998
DAIN RAUSCHER INCORPORATED
MO
04/19/1994 - 10/17/1994
EVEREN SECURITIES, INC. (ST. LOUIS MO)
WI
11/27/1989 - 01/26/1994
KEMPER CLEARING CORP. (MILWAUKEE WI)
WI
10/17/1988 - 10/31/1989
J.E. LISS & COMPANY, INC. (MILWAUKEE WI)
NA
05/16/1988 - 10/24/1988
THOMSON MCKINNON SECURITIES INC.
NA
07/23/1986 - 05/11/1988
ISFA CORPORATION
IA
Issued 03/15/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/25/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/01/2012
Series 24 - General Securities Principal Examination
BC
Issued 11/26/1999
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/23/1999
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/19/1986
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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