Home  >  BrightScope Advisor Pages  >  Annterese Toth

help text

Annterese Toth

Description

Annterese Toth a financial professional at Merrill Lynch, Pierce, Fenner & Smith Incorporated, a broker-dealer with over 30,000 registered representatives nationwide. Annterese has held an industry securities registration for 17 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

help text

Answers and Guides

help text
0 Answers and 0 Financial Guides

Top Answers

Annterese Toth has not answered any questions on Financial Q&A.

Top Guides

Annterese Toth has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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

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

Experience and Employment History

help text
Employer Years Dates
Bank of America, Na 3 years, 5 months Dec 2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated 3 years, 7 months Oct 2009 - Present
Banc of America Insurance Services, Inc. 9 years, 6 months Nov 2003 - Present
Banc of America Investment Services, Inc. 9 years, 6 months Nov 2003 - Present
Morgan Stanley Dw, Inc. 2 years, 5 months Jun 2001 - Nov 2003
Wells Fargo Investments, LLC 1 month May 2001 - Jun 2001
Wells Fargo Securities Inc. 6 years, 7 months Oct 1994 - May 2001
Wells Fargo Bank, N.A. 8 years May 1993 - May 2001
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 01/05/2011, 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

help text
Regulator
SEC
FINRA
License Status
Registered
Registered
Disclosures

4 Customer Disputes

4 Customer Disputes
As of Date
01/05/2011
01/05/2011
*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

help text
Exam Series Passed Date
Futures Managed Funds Examination Series 31 10/10/2003
General Securities Sales Supervisor - Options Module Examination Series 9 12/10/2001
Uniform Investment Adviser Law Examination Series 65 03/31/1998
General Securities Representative Examination Series 7 06/19/1995
Uniform Securities Agent State Law Examination Series 63 11/14/1994
Investment Company Products/Variable Contracts Representative Examination Series 6 11/07/1994

Firm Compensation Arrangements

help text

Types of Compensation Arrangements

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