Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sandra? Claim Your ProfileSandra Lee Raia is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., located in Short Hills, NJ. Sandra has been in the financial industry since December 1981. Prior to joining Merrill Lynch, Sandra worked at UBS Financial Services Inc. and Prudential Securities Incorporated. Sandra is registered to provide investment advice in several states, including California, Florida, Georgia, Maryland, Massachusetts, New Jersey, New York, North Carolina, Pennsylvania, South Carolina, and Tennessee. Sandra holds the Series 7, Series 63, and Series 65 licenses. Sandra is also a Registered Representative.
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
NJ
02/01/2008 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SHORT HILLS NJ)
NJ
07/02/2002 - 02/15/2008
UBS FINANCIAL SERVICES INC. (EDISON NJ)
NY
09/19/1994 - 07/16/2002
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
07/31/1993 - 09/28/1994
SMITH BARNEY INC. (NEW YORK NY)
NY
12/24/1981 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 04/02/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/12/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/19/1981
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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