CRD# 5834533
Charles Schwab & Company, Inc.
CRD# 5837317
Merrill Lynch, Pierce, Fenner & Smith Incorporated
CRD# 6865326
Citigroup Global Markets Inc.
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Lpl Financial, LLC | Jefferson Valley, NY | Nov 2020 - Current | 3 |
| Ameriprise Financial Services, Inc. | Yorktown, NY | Jan 2009 - Nov 2020 | 11 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Jul 1996 |
| S65 | NASAA Investment Advisors Law Examination | Sep 2004 |
- NJ
- NY
-
Total Assets Under Management463,475MILLIONS
-
Total Number of Accounts1,910,545ACCOUNTS
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Average Account Value$242,588
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Commissions
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
- Other
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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