Home  >  BrightScope Advisor Pages  >  Miguel Andres Ballestas


Type: Dual Registration

Miguel Ballestas is a financial professional at Merrill Lynch, Pierce, Fenner & Smith Incorporated, a $486B RIA based in New York, NY. Miguel has held an industry securities registration for 26 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Miguel Andres Ballestas has not answered any questions on Financial Q&A.

Top Guides

Miguel Andres Ballestas has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

High Net Worth Individuals
State or Municipal Government Entities
Corporations or Other Businesses
Other Pooled Investment Vehicles
Charitable Organizations
Pension and Profit Sharing Plans
Banking or Thrift Institutions
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
Bank of America,Na 2 years, 1 month Mar 2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated 26 years, 8 months Sep 1987 - Present
Merrill Lynch, Pierce, Fenner & Smith, Inc. 29 years, 1 month Apr 1985 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 06/22/2013, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

License Status

No Disclosures Found

1 Customer Dispute Pending

As of Date
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
Uniform Investment Adviser Law Examination Series 65 10/21/2005
Uniform Securities Agent State Law Examination Series 63 07/20/1989
National Commodity Futures Examination Series 3 11/25/1987
General Securities Representative Examination Series 7 03/21/1987

Firm Compensation Arrangements

help text

Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions