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Firm Information

Merrill Lynch, Pierce, Fenner & Smith Incorporated
Compensation
Commission-BasedFee-Only (AUM)Fixed/Hourly
Number of Advisors
24628 advisors
Number of Clients
1,738,212 clients
Average Client Portfolio
$869K average
Assets Under Management
$1511.1B

Fee Structure

The Program fee is based on the totality of the services and is negotiable depending on a number of factors.

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Areas of Practice
Retirement Planning

Advisor Information

Office location

14636 N Scottsdale Rd, Scottsdale, AZ, 85254

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Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
July 2009
Denied
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Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker
October 2009 - Present · 16 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 2009 - Present · 16 yrs 3 mos
Previous Registrations
Banc of America Investment Services, INC.Broker
October 2004 - October 2009 · 5 yrs
Banc of America Investment Services, INC.
October 2004 - October 2009 · 5 yrs
Quick & Reilly, INC.
November 2002 - October 2004 · 1 yr 11 mos
Quick & Reilly, INC.Broker
August 1996 - October 2004 · 8 yrs 2 mos
National Discount BrokersBroker
September 1994 - August 1996 · 1 yr 11 mos
Olde Discount CorporationBroker
March 1994 - June 1994 · 3 mos
State Registrations26 states
AZCACODCFLGAHIILINKSMAMEMIMNMTNCNDNJNMNVOHOKTXUTWAWI
AdvisorBrokerBoth
Exams
No exam information available for this advisor.