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Type: RIA, FINRA Status Unknown

Gregory Isaacs is a financial professional at Merrill Lynch, Pierce, Fenner & Smith Incorporated, a $486B RIA based in New York, NY. Gregory has held an industry securities registration for less than a year and is subject to SEC oversight.

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Answers and Guides

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Top Answers

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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 4 years, 7 months Sep 2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated 18 years, 4 months Dec 1995 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 03/14/2012, 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

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.

Advisor Exams

Exam Series Passed Date
General Securities Sales Supervisor - General Module Examination Series 10 11/12/2001
General Securities Sales Supervisor - Options Module Examination Series 9 09/24/2001
Uniform Combined State Law Examination Series 66 08/20/2001
General Securities Representative Examination Series 7 09/16/1997

Firm Compensation Arrangements

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Types of Compensation Arrangements

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