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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Samuel? Claim Your ProfileSamuel Smith is an Investment Advisor Representative at Merrill Lynch, Pierce, Fenner & Smith Inc. based in INDIANAPOLIS, IN. Samuel Smith has been in the industry since 2019 and has a strong track record of success. Prior to joining Merrill Lynch, Pierce, Fenner & Smith Inc., Samuel Smith was a Registered Representative at Charles Schwab & Co., Inc. Samuel Smith is licensed to provide investment advice in multiple states, including Indiana and Texas. Samuel Smith is also a licensed securities professional with FINRA Series 63, 66, 7TO and SIE licenses. Samuel Smith is passionate about helping his 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
IN
09/10/2019 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (INDIANAPOLIS IN)
IN
12/14/2018 - 08/12/2019
CHARLES SCHWAB & CO., INC. (Indianapolis IN)
BOTH
Issued 06/13/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/15/2019
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/14/2018
Series 7TO - General Securities Representative Examination
BC
Issued 11/05/2018
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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