Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Victoria? Claim Your ProfileVictoria Naughton is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Victoria has been in the industry for over 10 years and holds a Series 7, Series 10, Series 63, Series 66, and SIE license. Victoria is registered with the following states: Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virgin Islands, Virginia, Washington, West Virginia, Wisconsin, and Wyoming. Previously, Victoria worked at UBS Financial Services Inc. in Newport Beach, California. Victoria is a registered investment advisor and specializes in providing financial advice to individuals, businesses, corporations, charitable organizations, insurance companies, pension and profit-sharing plans, and state or municipal government entities.
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
VA
02/04/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NORFOLK VA)
CA
04/13/2009 - 08/29/2011
UBS FINANCIAL SERVICES INC. (NEWPORT BEACH CA)
BOTH
Issued 02/01/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/14/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/11/2017
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/20/2016
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/10/2009
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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