Miguel Ballestas is a financial professional at Merrill Lynch, Pierce, Fenner & Smith Incorporated, a $385B RIA based in New York, NY. Miguel has held an industry securities registration for 26 years and is subject to SEC and FINRA oversight.
Top AnswersMiguel Andres Ballestas has not answered any questions on Financial Q&A.
|High Net Worth Individuals|
|State or Municipal Government Entities|
|Corporations or Other Businesses|
|Other Pooled Investment Vehicles|
|Pension and Profit Sharing Plans|
|Banking or Thrift Institutions|
*The Client Types data displayed is firm level data as reported on the SEC ADV filing.
|Bank of America,Na||2 years||Mar 2012 - Present|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||26 years, 6 months||Sep 1987 - Present|
|Merrill Lynch, Pierce, Fenner & Smith, Inc.||28 years, 11 months||Apr 1985 - Present|
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1 Customer Dispute Pending
|As of Date||
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|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|
Types of Compensation Arrangements
- Percentage of Assets
- Hourly Charges
- Fixed Fees