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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rebecca? Claim Your ProfileRebecca Basba is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Rebecca has been in the financial industry since June 1998, working for several firms prior to joining Merrill Lynch in 2009. Rebecca holds Series 6, 7, 63, and 66 licenses and has experience with investment advisory services for both individuals and businesses. Rebecca also provides educational seminars and offers performance measurement reports, allocation modeling, IPS, research reports and services.
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
CA
10/23/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PASADENA CA)
CA
06/06/2005 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (ARCADIA CA)
NY
06/18/2003 - 06/20/2005
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
05/17/2000 - 06/03/2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
06/15/1998 - 06/15/2000
AXA ADVISORS, LLC (NEW YORK NY)
NY
06/15/1998 - 01/05/2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
BOTH
Issued 03/01/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/24/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/22/1999
Series 7 - General Securities Representative Examination
BC
Issued 06/11/1998
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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