Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Saphia? Claim Your ProfileSaphia Dahal-baker is an active financial advisor registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Saphia has been in the financial services industry for over 20 years and holds several licenses and registrations. She is licensed in California and Texas and has previous experience with multiple financial institutions. Saphia focuses on providing a range of advisory services to individuals, businesses, pension plans and insurance companies.
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
07/28/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (MANHATTAN BEACH CA)
CA
07/14/2009 - 07/11/2011
FARMERS FINANCIAL SOLUTIONS, LLC (ROLLING HILLS ESTATES CA)
CA
01/09/2007 - 06/29/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (SANTA MONICA CA)
NE
03/03/2004 - 09/28/2005
AMERITAS INVESTMENT CORP. (LINCOLN NE)
PA
05/30/2003 - 10/15/2003
ATLAS BROKERAGE COMPANY, L.P. (WASHINGTON PA)
NY
03/22/2000 - 05/18/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 08/18/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/21/2000
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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