Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tara? Claim Your ProfileTara Jeanice Spicer is a financial advisor registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Tara has been in the industry since October 21, 2005 and is licensed to provide advisory services in several states. Tara is a Series 7, 6, 63 and 66 licensed representative and holds a Series 26 license as well. In addition to financial advisory services, Tara is also a Notary Public for the state of North Carolina.
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
GA
03/30/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (DULUTH GA)
CO
03/23/2004 - 06/04/2021
GWFS EQUITIES, INC. (GREENWOOD VILLAGE CO)
BOTH
Issued 03/24/2023
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/19/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/26/2006
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 03/03/2023
Series 7TO - General Securities Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/19/2004
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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