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Overview

Services

Advisor Services

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Funds

Funds Used With Clients

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Firm Client types

Qualifications

Experience

No timeline events available.
Employer Years Dates
Bank of America, N.A. 1 year, 3 months Sep 2015 - Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated 1 year, 6 months Jun 2015 - Present
Barclays Capital Inc. 4 years, 2 months Apr 2011 - Jun 2015
Bear, Stearns & Co. Inc. 1 month Oct 2008 - Oct 2008
J.P. Morgan Securities Inc. 8 years, 6 months Oct 2002 - Apr 2011
Donaldson, Lufkin & Jenrette Securities Corporation 13 years, 6 months Apr 1995 - Oct 2008
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Rosalie Hunter?
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Designations & Memberships

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Articles and Answers

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Licenses & Conducts

SEC
U.S. Securities and Exchange Commission
  • license status
    Registered
  • disclosures
    None
  • as of date
    Oct 27, 2016
FINRA
FINRA
  • license status
    Registered
  • disclosures
    None
  • as of date
    Oct 27, 2016
Review the status and details of the disclosures noted above using the SEC's Investment Advisor Public Disclosure website:

Assets

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Last updated on Dec. 5, 2016
    • $575.3B
      Total Assets Under Management
    • N/A
      Total Assets Under Advisement
    • 2M
      Accounts
    • $335.4K
      Estimated Average Account Balance

Fees

Types of Compensation Arrangements

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