Shad
Roundy
Merrill Lynch, Pierce, Fenner & Smith Inc
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About this Advisor
Shad Roundy is a financial advisor operating out of Stockton, California, with a total of 2 years of industry experience. Roundy is currently employed by Merrill Lynch, Pierce, Fenner & Smith Inc. Over the course of their career, Roundy has held roles at Edward Jones, Allegis Investment Services, Alivint Financial & Insurance, Cambridge Investment Research, Inc, Cambridge Investment Research Advisors, Inc, Ameritas, Merrill Lynch, Pierce, Fenner & Smith Inc and Bank Of America, N.A. Roundy maintains a Series 66 license, designating them as both a securities agent and an investment advisor representative, and is able to work in California and Texas. Merrill Lynch, Pierce, Fenner & Smith Inc is an advisory company that has its headquarters in New York, NY. It has offices in 3,372 locations and a total of 36,687 advisors. It handles $1 trillion in total assets across its 2,864,234 client accounts, placing it among the biggest financial advisory firms in the United States by assets under management. The firm serves 4,459 charitable organizations. Of its 2,864,234 client accounts, 23% are held by high-net-worth investors who have greater than $1 million in assets. The business has a diverse array of services, including 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 advisory fees usually are based on which services are offered. Fees charged by Merrill Lynch, Pierce, Fenner & Smith Inc likely consist of some combination of asset-based, fixed and commission-based fees.
Certifications and Registrations
Years Registered*
Services Offered
Fee Structure
Office Location
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Merrill Lynch, Pierce, Fenner & Smith Inc Brokerage Details
$1,093,689,238,206
36,687
2,864,234
$381,844
Investment Advisory 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
Shad Roundy Work History
Shad has been registered as a financial advisor for 2 years.*
Merrill Lynch, Pierce, Fenner & Smith Inc
Bank Of America, N.A
Edward Jones
Allegis Investment Services
Alivint Financial & Insurance
Cambridge Investment Research, Inc
Cambridge Investment Research Advisors, Inc
Ameritas
Edward Jones
*The number of years registered in this profile is calculated by taking the year of an advisor's first active registration and subtracting it from the current year.
Disclosures
Please visit the SEC profile of Shad Roundy to learn whether or not they have any disclosures. It is important to do your due diligence when looking for an advisor.
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