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Type: Dual Registration

Michael Prewitt is a financial professional at Merrill Lynch, Pierce, Fenner & Smith Incorporated, a $486B RIA based in New York, NY. Michael has held an industry securities registration for 9 years and is subject to SEC and FINRA oversight.

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Answers and Guides

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Top Answers

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Top Guides

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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, Inc. 2 years, 7 months Sep 2011 - Present
Morgan Keegan & Company 5 years, 2 months Jul 2006 - Sep 2011
Ids Life Insurance Company 2 years Jul 2004 - Jul 2006
American Express Financial Advisors 2 years Jul 2004 - Jul 2006
Prairie Fire Grill 2 years, 5 months Feb 2004 - Jul 2006
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 11/15/2012, 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

No Disclosures Found

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 Combined State Law Examination Series 66 02/03/2005
General Securities Representative Examination Series 7 01/17/2005

Firm Compensation Arrangements

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Types of Compensation Arrangements

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