Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rebecca? Claim Your ProfileRebecca Brayton is a financial advisor with over 20 years of experience in the financial services industry. Rebecca is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Previously, Rebecca worked at RBC DAIN RAUSCHER INC., UBS FINANCIAL SERVICES INC., and PIPER JAFFRAY & CO. Rebecca has a broad range of experience and holds licenses in several states. Rebecca is a highly experienced financial advisor who is committed to providing her clients with personalized financial advice and investment solutions.
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
WA
11/08/2007 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (EVERETT WA)
WA
08/31/2006 - 03/29/2007
RBC DAIN RAUSCHER INC. (SEATTLE WA)
WA
08/12/2006 - 09/12/2006
UBS FINANCIAL SERVICES INC. (SEATTLE WA)
WA
11/19/2002 - 08/12/2006
PIPER JAFFRAY & CO. (SEATTLE WA)
MN
09/18/2000 - 04/12/2001
WOODBURY FINANCIAL SERVICES, INC. (OAKDALE MN)
BOTH
Issued 10/15/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/18/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/18/2002
Series 7 - General Securities Representative Examination
BC
Issued 09/15/2000
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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