Home  >  BrightScope Advisor Pages  >  Merrill Lynch, Pierce, Fenner & Smith Incorporated

help text

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith Incorporated is a broker-dealer with over 30,038 financial professionals registered nationwide. The firm's primary clients are Individuals, High Net Worth Individuals and Banking or Thrift Institutions.

Advisors (30,038)

help text
Name Start Date
A D Vande Poele Sep 2005
A Mason Rascher Jun 1990
A Michael Frahlich Jun 2006
A P Chappell Nov 1998
A. Daniel Rooney Feb 1995
View All
*Unless otherwise noted, an advisor's inclusion in the above list is based on that advisor's registration as per their SEC registration filing. Please note that 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 advisor listed above may no longer be employed by that firm. Please contact the firm directly to determine the employment status of the advisors listed above.

Firm Assets Under Management

help text
$321.4B
Total Assets
1M
Accounts
$249.0K
Estimated Average Account Balance
*The AUM displayed is firm level data as reported on the SEC ADV filings and may not reflect all of a firm's assets.
*Average Account Balance is the total AUM of the firm divided by the number of accounts listed on the SEC ADV filing. This calculation is an estimate.

Ownership

help text
ownership pie chart
  •   Merrill Lynch & Co., Inc. (75% or more)
  •   Executives with less than 5% share each

*The pie chart is not drawn to scale and is simply included to make the data visually understandable. The ownership is from the firm's or advisor's Form ADV. Executives with less than 5% share may not own any of the firm. Please see the Form ADV for complete disclosure.

Executives and Control Persons

help text
Name Title Tenure Date
Thomas Kell Montag Director & Co-Chief Executive Officer 03/01/2009
William Charles Caccamise Chief Legal Officer & General Counsel 03/01/2009
Greco, Gloria Regina Co-Chief Compliance Officer/Broker Dealer and Chief Compliance Officer/Registered Investment Adviser 04/01/2009
William Eugene Tirrell Interim Chief Financial Officer 08/01/2011
David C Darnell Director & Co-Chief Executive Officer 01/01/2012

Affiliated Investment Advisors and Broker Dealers

help text

No firm affiliates listed.

Principal Office & Place of Business

help text

Principal Office

Address:
One Bryant Park
New York , NY 10036
Phone Number: 800-637-7455
Other Offices Address City State Zip
717 Fifth Avenue New York NY 10022
2 World Financial Center New York NY 10281-6100
1700 Merrill Lynch Drive Pennington NJ 08534-4128
101 Hudson St. Jersey City NJ 07302-3997
3455 Peachtree Rd NE, Suite 1000 Atlanta GA 30326

Firm Compensation Arrangements

help text

Types of Compensation Arrangements

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