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Annterese Toth

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Information

Other Names: Annterese Pezzullo
Firm:
Type: Dual Registration
Description

Annterese Toth is a financial professional at Merrill Lynch, Pierce, Fenner & Smith Incorporated, a broker-dealer with over 31,700 registered representatives nationwide. Annterese has held an industry securities registration for 19 years and is subject to SEC and FINRA oversight.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Bank of America, N.A. 5 years Dec 2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated 5 years, 2 months Oct 2009 - Present
Banc of America Investment Services, Inc. 5 years, 11 months Nov 2003 - Oct 2009
Banc of America Insurance Services, Inc. 5 years, 11 months Nov 2003 - Oct 2009
Exams
ExamSeriesPassed Date
Futures Managed Funds ExaminationSeries 31 10/10/2003
General Securities Sales Supervisor - Options Module ExaminationSeries 9 12/10/2001
Uniform Investment Adviser Law ExaminationSeries 65 03/31/1998
General Securities Representative ExaminationSeries 7 06/19/1995
Uniform Securities Agent State Law ExaminationSeries 63 11/14/1994
Investment Company Products/Variable Contracts Representative ExaminationSeries 6 11/07/1994

Answers and Guides

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.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
State or Municipal Government Entities
Corporations or Other Businesses
Other
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.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

4 Customer Disputes

4 Customer Disputes

As of Date
10/03/2014
05/21/2014
*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.

Firm Compensation Arrangements

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Types of Compensation Arrangements

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