Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Vanessa? Claim Your ProfileVanessa Ly is a financial advisor with over 10 years of experience in the financial services industry. Vanessa is currently registered with Morgan Stanley in California and Texas. Vanessa has a strong background in providing financial advice to a wide range of clients, including high-net-worth individuals, families, and businesses. Vanessa is committed to helping clients achieve their financial goals through a personalized approach that takes into account their individual needs and circumstances. Vanessa holds the Series 6, 7, 63, and 66 licenses, as well as the SIE and Series 99TO. Vanessa is a highly qualified and experienced financial advisor who is dedicated to providing her clients with the highest level of service.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
07/03/2023 - Present
Morgan Stanley (Brea CA)
RI
02/06/2023 - 06/20/2023
FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)
MI
07/03/2019 - 01/10/2023
AMERIPRISE FINANCIAL SERVICES, LLC (Grand Rapids MI)
MI
01/11/2017 - 07/05/2019
OPPENHEIMER & CO. INC. (GRAND RAPIDS MI)
MI
01/22/2015 - 01/12/2017
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. (GRAND RAPIDS MI)
MI
09/09/2013 - 01/05/2015
ROYAL SECURITIES COMPANY (GRAND RAPIDS MI)
MI
10/21/2011 - 11/07/2012
EDWARD JONES (KENTWOOD MI)
CA
07/29/2003 - 06/23/2004
FARMERS FINANCIAL SOLUTIONS, LLC (WESTLAKE VILLAGE CA)
BOTH
Issued 11/04/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/12/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/20/2011
Series 7 - General Securities Representative Examination
BC
Issued 07/28/2003
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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