Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Travis? Claim Your ProfileTravis Daugherty is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. He is licensed to provide investment advice in multiple states and has been in the securities industry since 1999. Travis has previously been employed by BANC OF AMERICA INVESTMENT SERVICES, INC. and BANC OF AMERICA SECURITIES LLC. His areas of expertise include securities, insurance, and investment advisory services. Travis has a strong track record of success and is committed to providing his clients with the highest level of service and guidance.
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
10/18/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SAN FRANCISCO CA)
CA
08/18/2003 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (SAN FRANCISCO CA)
NY
02/26/1999 - 08/20/2003
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
BOTH
Issued 11/16/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/26/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/24/1999
Series 7 - General Securities Representative Examination
BC
Issued 05/21/1996
Series 2 - Non-Member General Securities 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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