Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Troy? Claim Your ProfileTroy Botts is a financial advisor currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Troy has been in the financial industry since 2014 and has a Series 7, Series 63, Series 65 and SIE license. Troy has experience working with various clients, including high net worth individuals, corporations, and individuals other than high net worth. Previously Troy was with AXA Advisors, LLC. Troy is licensed to provide investment advice in several states, including Connecticut, Florida, Maine, Massachusetts, New Hampshire, New Jersey, New York, Rhode Island, Texas, and Vermont.
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
MA
05/29/2020 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NORTH ATTLEBORO MA)
MA
11/10/2014 - 03/04/2015
AXA ADVISORS, LLC (WELLESLEY MA)
BC
Issued 02/27/2015
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 05/29/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/10/2014
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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