Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Todd? Claim Your ProfileTodd Jacob Dates is a financial advisor with over 20 years of experience in the financial services industry. Todd has been with Merrill Lynch, Pierce, Fenner & Smith Inc. since 2016. Prior to joining Merrill Lynch, Todd worked at Morgan Stanley and Citigroup Global Markets Inc. Todd is licensed to provide financial services in numerous states across the United States. Todd holds Series 7, 31 and 66 licenses as well as a Series SIE.
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
07/22/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (WAYNE NJ)
NJ
06/01/2009 - 08/16/2016
MORGAN STANLEY (LITTLE FALLS NJ)
NJ
05/28/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (MORRISTOWN NJ)
NJ
05/28/2004 - 06/12/2008
CITIGROUP GLOBAL MARKETS INC. (LITTLE FALLS NJ)
NY
10/11/2000 - 06/02/2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 06/13/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/22/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 03/09/2000
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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