Jose Triana (CRD# 5831918) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Riverside, CA and has over 13 years of experience in the finance industry.
CRD# 1622075
Merrill Lynch, Pierce, Fenner & Smith Incorporated
CRD# 5480138
Safeguard Investment Advisory Group, LLC
CRD# 6302760
Merrill Lynch, Pierce, Fenner & Smith Incorporated
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Ontario, CA | Oct 2014 - Current | 9 |
| Bank Of America, N.a. | Ontario, CA | Oct 2014 - Current | 9 |
| J.p. Morgan Securities LLC | Covina, CA | Oct 2012 - Oct 2014 | 2 |
| Jpmorgan Chase Bank Na | Covina, CA | Aug 2010 - Oct 2014 | 4 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Sep 2010 |
| S66 | NASAA Uniform Combined State Law Examination | May 2013 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site- CA
- TX
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Total Assets Under Management1,271,594MILLIONS
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Total Number of Accounts2,911,578ACCOUNTS
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Average Account Value$436,737
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Commissions
- 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, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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