Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sandra? Claim Your ProfileSandra Dee is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc. located in Carmel, CA. Sandra has been in the industry since September 15, 1990 and has experience working at UBS Financial Services Inc., Wells Fargo Advisors Financial Network, LLC, and Chase Investment Services Corp. Sandra has passed the Series 63, Series 65, and Series 7 exams. Sandra is licensed to provide financial advice in Arizona, California, Colorado, Connecticut, Florida, Georgia, Illinois, Kentucky, Massachusetts, Nevada, New York, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, Tennessee, Texas, Utah, and Washington.
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
06/18/2018 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CARMEL CA)
CA
03/09/2012 - 06/15/2018
UBS FINANCIAL SERVICES INC. (CARMEL CA)
CA
01/11/2012 - 02/21/2012
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (SAN JOSE CA)
CA
02/24/2011 - 01/10/2012
UBS FINANCIAL SERVICES INC. (SAN JOSE CA)
CA
06/01/2010 - 02/16/2011
CHASE INVESTMENT SERVICES CORP. (MARINA CA)
CA
04/02/2008 - 03/24/2009
MORGAN STANLEY & CO. INCORPORATED (MONTEREY CA)
CA
07/18/2005 - 04/17/2008
E*TRADE SECURITIES LLC (CARMEL CA)
MO
06/22/2001 - 07/15/2005
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NJ
10/14/1993 - 08/02/2001
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
NY
06/20/1989 - 03/01/1994
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 09/22/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/19/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/09/2007
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/17/1989
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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