Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rudy? Claim Your ProfileRudy Alan De la Torre is a financial advisor who has been in the industry since September 2014. Rudy is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and has been with them since June 2018. Prior to that, Rudy was with J.P. MORGAN SECURITIES LLC. Rudy holds the following licenses: Series 6, Series 7, Series 63, and Series 66. Rudy is also registered in 53 states and 2 districts.
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
01/31/2019 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (REDLANDS CA)
CA
09/08/2014 - 05/31/2018
J.P. MORGAN SECURITIES LLC (RANCHO CUCAMONGA CA)
BOTH
Issued 09/10/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/18/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/07/2018
Series 7 - General Securities Representative Examination
BC
Issued 09/08/2014
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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