Thomas
Smith

Merrill Lynch, Pierce, Fenner & Smith Inc

CRD#4838960
Investment Advisor
in Fairhope, AL

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About this Advisor

Thomas Smith is an investment advisor who is based in Fairhope, Alabama. Currently an advisor with Merrill Lynch, Pierce, Fenner & Smith Inc, Smith has 11 years of work experience. Smith has a Series 66 license, which certifies them as both a securities agent and an investment advisor representative. Smith is registered to work with customers in Alabama and Texas. Throughout their career, they have worked at Whitney Bank, Primevest Financial Services, Inc, Hancock Bank, Hancock Investment Services, Inc, Pnc Investments, Regions Bank, Cetera Investment Advisers LLC, Cetera Investment Services LLC, Merrill Lynch, Pierce, Fenner & Smith Inc and Bank Of America, N.A. Merrill Lynch, Pierce, Fenner & Smith Inc is headquartered in Fairhope, Alabama, and has 3,270 locations across the nation. As an advisory firm, Merrill Lynch, Pierce, Fenner & Smith Inc manages $962 billion in assets covering 2,529,169 accounts and retains more than 36,383 people. The firm's total assets under management places it among the largest financial advisory firms in the country. The firm manages 778,387 accounts on a discretionary basis, in which the advisor makes investment decisions at their discretion. Currently 7% of the firm's customers are high-net-worth individuals, meaning they have more than $1 million in capital. Merrill Lynch, Pierce, Fenner & Smith Inc offers 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. The firm's fees may include asset-based, fixed and commission-based fees.

Certifications and Registrations

Series 66

Years of Experience

11 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

Thomas Smith Work History

Thomas has 11 years of experience.

2018 - Present (3 years)

Merrill Lynch, Pierce, Fenner & Smith Inc

2018 - Present (3 years)

Bank Of America, N.A

2015 - 2018 (3 years)

Regions Bank

2015 - 2018 (3 years)

Cetera Investment Advisers LLC

2015 - 2018 (3 years)

Cetera Investment Services LLC

2014 - 2015 (1 year)

Pnc Investments

2012 - 2014 (2 years)

Hancock Bank

2012 - 2014 (2 years)

Hancock Investment Services, Inc

2009 - 2012 (3 years)

Whitney Bank

2009 - 2012 (3 years)

Primevest Financial Services, Inc

Disclosures

Thomas Smith has no disclosures.

Please visit their SEC profile for more details.

Financial Advisors at Merrill Lynch, Pierce, Fenner & Smith Inc

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Chandler, AZ
Jacob Church
Henderson, NV
Ryan Harrison
Pennington, NJ
Aniello Iazzetta
Concord, CA
Chor-Shing Chan
New York, NY
Jeffrey Petersen
Vero Beach, FL
Michael Mason
Holly Springs, NC
Rayan Hamze
Chandler, AZ

This content was compiled from the SEC and FINRA.

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