Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert J Carrozza is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Robert J Carrozza has been in the securities industry since July 18, 2011 and has been with the firm since May 2011. Robert J Carrozza holds a Series 66, Series 7, Series 9, Series 10 and SIE license. Robert J Carrozza is registered in 53 states and the District of Columbia. Merrill Lynch, Pierce, Fenner & Smith Inc. is a large financial services company that offers a wide range of products and services, including investment management, financial planning, and insurance. The firm manages over $1 trillion in assets.
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
MD
08/23/2011 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (HUNT VALLEY MD)
BOTH
Issued 08/19/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/25/2013
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/02/2013
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/18/2011
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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