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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rosalind? Claim Your ProfileRosalind Knight-harris is a financial advisor who has been in the industry for over 25 years. Rosalind is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Rosalind has been with Merrill Lynch, Pierce, Fenner & Smith Inc. since 1997. Rosalind has a broad range of experience in the financial services industry and has held various roles at a number of firms, including Salomon Smith Barney Inc. and Oppenheimer & Co., Inc. Rosalind specializes in working with individuals, corporations, and charitable organizations. Rosalind's areas of expertise include portfolio management, financial planning, and pension consulting. Rosalind is committed to providing her clients with personalized financial advice and guidance.
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
01/20/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (STATEN ISLAND NY)
NY
07/30/1999 - 09/17/1999
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
01/03/1998 - 08/27/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
12/09/1996 - 09/18/1997
OPPENHEIMER & CO., INC. (NEW YORK NY)
BOTH
Issued 10/07/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/22/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/05/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/01/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/04/1996
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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