C
Harty

Merrill Lynch, Pierce, Fenner & Smith Inc

CRD#1114074
Investment Advisor
in Fairhope, AL

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About this Advisor

C Harty is a financial advisor working in Fairhope, Alabama, who has 37 years of professional experience. Harty currently works for Merrill Lynch, Pierce, Fenner & Smith Inc. Over the course of their career, Harty has held roles at Merrill Lynch, Pierce, Fenner & Smith Inc and Bank Of America, Na. Harty holds Series 63 and Series 65 licenses, which qualify them as both a securities agent and an investment advisor representative, and is registered to advise clients in Alabama and Texas. Merrill Lynch, Pierce, Fenner & Smith Inc is a financial advisory company headquartered in Fairhope, Alabama. The investment advisory business has offices in 3,270 locations and a total of 36,383 financial advisors. It handles $962 billion in assets among its 2,529,169 accounts, placing it among the largest firms in the country by assets under management. The firm provides financial advisory services to 4,927 charities and foundations. Of its 2,529,169 customer accounts, just 7% are held by high-net-worth clients who have greater than $1 million in investable assets. The firm offers a broad set of services, including financial planning services, portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, portfolio management for institutional clients, pension consulting services, selection of other advisers and other services. Financial management fees typically are based on the services. However, fees billed by Merrill Lynch, Pierce, Fenner & Smith Inc most likely are comprised of any combination of asset-based, fixed and commission-based fees.

Certifications and Registrations

Series 63, Series 65

Years of Experience

37 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for pooled investment vehicles, Portfolio management for businesses or institutional clients, Pension consulting services, Selection of other advisers, Other

Fee Structure

Percentage of Assets, Fixed Fees, Commissions

Disclosures

No

Office Location

601 N Section St
Fairhope, AL 36532

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Merrill Lynch, Pierce, Fenner & Smith Inc Brokerage Details

Total Assets Under Management

$962,052,205,321

AL Average: $7,464,549,021
Total Number of Employees

36,383

AL Average: 88
Total Number of Accounts

2,529,169

AL Average: 3,892
Average Account Size

$380,383

AL Average: $1,917,921

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Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles
  • Portfolio management for businesses or institutional clients
  • Pension consulting services
  • Selection of other advisers
  • Other

C Harty Work History

C has 37 years of experience.

2009 - Present (12 years)

Bank Of America,Na

1983 - Present (38 years)

Merrill Lynch, Pierce, Fenner & Smith Inc

Disclosures

C Harty has no disclosures.

Please visit their SEC profile for more details.

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Chor-Shing Chan
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Jeffrey Petersen
Vero Beach, FL
Michael Mason
Holly Springs, NC
Rayan Hamze
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This content was compiled from the SEC and FINRA.

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