Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Penny? Claim Your ProfilePenny Lyn Mc allister is a registered investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Penny Lyn Mc allister has been in the financial services industry since December 1998. She has a Series 66, Series 7 and SIE license. Penny Lyn Mc allister has been registered with Merrill Lynch, Pierce, Fenner & Smith Inc. since June 2018 and was previously registered with UBS Financial Services Inc. and Hightower Securities, LLC.
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
NV
05/08/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (HENDERSON NV)
NV
12/04/2017 - 06/26/2018
UBS FINANCIAL SERVICES INC. (LAS VEGAS NV)
NV
08/31/2012 - 11/20/2017
HIGHTOWER SECURITIES, LLC (HENDERSON NV)
NV
12/16/1998 - 09/04/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HENDERSON NV)
BOTH
Issued 02/06/1999
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/10/1998
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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