Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Theresa? Claim Your ProfileTheresa Schnetz is an investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc., who has been in the financial industry since 1987. Theresa is registered with the state of California as an Investment Adviser Representative. Theresa also holds a Series 63, Series 65, Series 7, Series 10, Series 9, Series 24 and Series 26. In addition to Merrill Lynch, Pierce, Fenner & Smith Inc., Theresa has been registered with other firms including Blaylock Robert Van, LLC, Ivy Funds Distributor, Inc., Waddell & Reed, Inc., Principal Funds Distributor, Inc., WM Financial Services, Inc., Griffin Financial Services, Great Western Financial Securities Corporation, ASB Financial Services, First Interstate Investments, Inc., Essex National Securities, Inc., JMC Financial Corporation, and American Express Financial Advisors Inc.
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
09/06/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SACRAMENTO CA)
CA
07/07/2009 - 03/17/2010
BLAYLOCK ROBERT VAN, LLC (OAKLAND CA)
KS
11/02/2007 - 01/26/2009
IVY FUNDS DISTRIBUTOR, INC. (OVERLAND PARK KS)
KS
11/02/2007 - 01/26/2009
WADDELL & REED, INC. (OVERLAND PARK KS)
CA
05/20/2004 - 09/27/2007
PRINCIPAL FUNDS DISTRIBUTOR, INC. (EL DORADO HILLS CA)
CA
05/01/1998 - 06/26/2004
WM FINANCIAL SERVICES, INC. (IRVINE CA)
NA
09/30/1998 - 01/01/1999
GRIFFIN FINANCIAL SERVICES
CA
10/03/1997 - 05/01/1998
GREAT WESTERN FINANCIAL SECURITIES CORPORATION (NORTHRIDGE CA)
CA
07/14/1997 - 04/29/1998
WM FINANCIAL SERVICES, INC. (IRVINE CA)
CA
03/21/1997 - 07/14/1997
ASB FINANCIAL SERVICES (IRVINE CA)
CA
04/25/1996 - 12/03/1996
ASB FINANCIAL SERVICES (IRVINE CA)
NA
12/12/1994 - 04/22/1996
FIRST INTERSTATE INVESTMENTS,INC.
CA
03/30/1995 - 11/16/1995
ESSEX NATIONAL SECURITIES, INC. (NAPA CA)
MA
11/21/1989 - 11/07/1994
JMC FINANCIAL CORPORATION (BOSTON MA)
MN
09/29/1986 - 11/21/1989
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
IA
Issued 08/13/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/31/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/24/2018
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/04/2018
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/04/1994
Series 24 - General Securities Principal Examination
BC
Issued 03/26/1993
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 03/22/2019
Series 3 - National Commodity Futures Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/20/1986
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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