Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Vivian? Claim Your ProfileVivian Vazquez is a financial advisor with over 20 years of experience in the industry. Vivian is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in California and Texas. Vivian has previously worked at BANC OF AMERICA INVESTMENT SERVICES, INC. in Beverly Hills, California. Vivian is a licensed securities representative and has passed several exams including the Series 7, Series 66 and the Securities Industry Essentials Exam (SIE). Vivian is registered with the states of Alabama, Arizona, California, Colorado, Connecticut, Florida, Idaho, Massachusetts, Michigan, Nevada, New Jersey, New York, North Carolina, Ohio, Oregon, Pennsylvania, Tennessee, Texas, Utah, Virginia, Washington and Wisconsin. Vivian is an active member of the securities industry and has a strong track record of success. Vivian specializes in providing financial advice to a variety of clients, including individuals, businesses, and institutions. Vivian is committed to providing her clients with the highest level of service and expertise.
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
CA
02/26/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BEVERLY HILLS CA)
CA
04/02/2001 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (BEVERLY HILLS CA)
BOTH
Issued 12/03/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/30/2001
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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