Nicholas
Harper

Merrill Lynch, Pierce, Fenner & Smith Inc

CRD#3000776
Investment Advisor
in Tempe, AZ

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About this Advisor

Nicholas Harper is a financial advisor based in Tempe, Arizona, who has been in the industry for 12 years. Harper is currently employed by Merrill Lynch, Pierce, Fenner & Smith Inc. During their career, Harper has held roles at U.S. Bank, U.S. Bancorp Investments, Inc, Trust Bank, Cetera Investment Services, Cetera Investment Advisers LLC, Merrill Lynch, Pierce, Fenner & Smith Inc and Bank Of America N.A. Harper has Series 63 and Series 65 licenses, certifying them as both a securities agent and an investment advisor representative, and is able to advise clients in California and Texas. Merrill Lynch, Pierce, Fenner & Smith Inc is a financial advisory firm based out of Tempe, Arizona. The investment advisory business has offices in 3,132 locations and a total of 41,217 employees. It handles $797 billion in assets under management among its 2,472,247 accounts, placing it among the largest investment advisory firms in the United States by assets under management. The firm advises 4,898 charitable organizations. Of its 2,472,247 customer accounts, just 5% belong to high-net-worth clients who have more than $1 million in assets available to invest. Merrill Lynch, Pierce, Fenner & Smith Inc provides a number of services, such as 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 fee schedules usually depend on which service is provided. Fees billed by Merrill Lynch, Pierce, Fenner & Smith Inc likely are comprised of any combination of asset-based, fixed and commission-based fees.

Certifications and Registrations

Series 63, Series 65

Years of Experience

13 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

Yes

Office Location

1820 E Warner Rd
Tempe, AZ 85284

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Merrill Lynch, Pierce, Fenner & Smith Inc Brokerage Details

Total Assets Under Management

$797,284,337,467

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

41,217

AZ Average: 88
Total Number of Accounts

2,472,247

AZ Average: 3,892
Average Account Size

$322,494

AZ 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

Nicholas Harper Work History

Nicholas has 13 years of experience.

2017 - Present (3 years)

Merrill Lynch, Pierce, Fenner & Smith Inc

2017 - Present (3 years)

Bank Of America N.A

2014 - 2017 (3 years)

Cetera Investment Advisers LLC

2013 - 2017 (4 years)

Trust Bank

2013 - 2017 (4 years)

Cetera Investment Services

2008 - 2013 (5 years)

U.S. Bancorp Investments, Inc

2007 - 2013 (6 years)

U.S. Bank

Disclosures

Nicholas Harper has disclosures.

Please visit their SEC profile for more details.

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

Katelyn Gallagher
Chandler, AZ
Katrina Stump
Portland, OR
Mark Seitzer
Hot Springs National Park, AR
Terence Zagara
Chandler, AZ
Sheldon Stephen
Everett, WA
Robert Dunn
Pennington, NJ
Antonella Barrero
Cincinnati, OH
Ali Abbas
Lake Worth, FL

This content was compiled from the SEC and FINRA.

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