Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Terrie? Claim Your ProfileTerrie Rudolph is a financial professional with over 30 years of experience in the industry. Terrie is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in Newport Beach, CA and has previously been registered with WM Financial Services, Inc., ASB Financial Services, and Dean Witter Reynolds Inc. Terrie is licensed in a variety of states and holds several industry licenses, including Series 7, Series 24, and Series 66. Terrie offers a range of services to individuals, businesses, and institutions.
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
11/21/2006 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEWPORT BEACH CA)
CA
07/14/1997 - 09/09/1997
WM FINANCIAL SERVICES, INC. (IRVINE CA)
CA
08/11/1993 - 07/14/1997
ASB FINANCIAL SERVICES (IRVINE CA)
NY
05/23/1989 - 09/17/1993
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
BOTH
Issued 09/17/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/27/1995
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/20/1989
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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