Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Peggy? Claim Your ProfilePeggy Mahoney is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. with more than 20 years of experience in the industry. Peggy is registered with FINRA and the states of New York and Texas. Peggy has a strong background in securities and investment advisory services and has passed numerous exams including the Series 6, 7, 63 and 65. Peggy provides a wide range of services to both individuals and businesses including portfolio management and financial planning.
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
NY
07/06/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (MELVILLE NY)
NY
10/01/2012 - 07/14/2021
J.P. MORGAN SECURITIES LLC (RIDGEWOOD NY)
NY
08/30/2001 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (RIDGEWOOD NY)
IA
Issued 06/16/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/25/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/29/2003
Series 7 - General Securities Representative Examination
BC
Issued 08/29/2001
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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