Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Vicki? Claim Your ProfileVicki Ann Rios is a registered representative and investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Vicki has been in the industry since 2001 and has a wide range of experience working with clients. Vicki has experience in a variety of industries, including financial services and banking. Vicki is licensed in a number of states, including Illinois and Texas. Vicki is a registered representative of Merrill Lynch, Pierce, Fenner & Smith Inc. Vicki offers a variety of financial services, including investment advisory services, portfolio management, and financial planning. Vicki is dedicated to providing her clients with the highest quality 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.
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
IL
04/05/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHICAGO IL)
IL
07/09/2009 - 11/24/2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CHICAGO IL)
IL
11/28/2001 - 10/14/2008
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CHICAGO IL)
IA
Issued 01/12/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/11/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/09/2015
Series 7 - General Securities Representative Examination
BC
Issued 11/27/2001
Series 6 - Investment Company Products/Variable Contracts 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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