Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Vance? Claim Your ProfileVance M. Whitby is an active Broker/Dealer and Investment Advisor Representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Vance has been in the securities industry since May 6, 2000. Previously, Vance was affiliated with UBS FINANCIAL SERVICES INC. and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Vance holds Series 66, SIE, and Series 7 securities licenses and has been registered in 36 states and the District of Columbia. Vance specializes in providing portfolio management for businesses, portfolio management for individuals, and other investment advisory services.
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
UT
07/27/2015 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (MIDWAY UT)
CO
11/16/2007 - 07/17/2015
UBS FINANCIAL SERVICES INC. (DENVER CO)
CO
09/27/2000 - 11/20/2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (DENVER CO)
MA
04/26/2000 - 09/15/2000
SIGNATOR INVESTORS, INC. (BOSTON MA)
BOTH
Issued 06/13/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/25/2000
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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