Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roy? Claim Your ProfileRoy Ko Kakei is a registered investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Roy has been in the industry for over 2 years and holds the Series 7TO, SIE, and Series 66 licenses. Roy has a strong background in financial services and has been providing investment advice to clients for many years. Roy is committed to providing personalized financial advice to individuals and families. Roy focuses on helping clients reach their financial goals by offering a range of financial products and services, including portfolio management, financial planning, and investment advisory services. Roy has experience in providing financial services to a variety of clients, including individuals, families, and businesses. Roy is also a member of the Chinatown Respite Care Ltd., a non-profit organization providing respite care for children with disabilities. Roy is a highly skilled and experienced investment advisor representative committed to helping clients achieve their financial goals.
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
MA
06/14/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BOSTON MA)
BOTH
Issued 04/12/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/02/2022
Series 7TO - General Securities Representative Examination
BC
Issued 02/24/2021
SIE - Securities Industry Essentials 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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