Merrill Lynch, Pierce, Fenner & Smith Inc

Investment Advisor
in Buffalo, NY

Answer a few questions and
get matched with an advisor.

Find an Advisor

About this Advisor

Caitlin Derose is a financial advisor based in Buffalo, New York, with 3 years of relevant experience. Derose is an employee of Merrill Lynch, Pierce, Fenner & Smith Inc. Over the course of their career, Derose has held roles at Merrill Lynch, Pierce, Fenner & Smith Inc, Morgan Stanley Smith Barney LLC, M&T Securities, M&T Bank, Hsbc Securities (Usa) Inc, Hsbc Bank Usa, N.A, Kaplan University, Hsbc Secuities (Usa) Inc, Merrill Lynch, Pierce, Fenner & Smith Inc (Crd: 7691), Northtown Automotive Companies, Lehman Brothers Inc James W Giddens and Bank Of America, N.A. Derose has a Series 66 license, qualifying them as both a securities agent and an investment advisor representative, and can serve investors in Connecticut, New York and Texas. Merrill Lynch, Pierce, Fenner & Smith Inc is an advisory company that has its headquarters in New York, NY. The company has offices in 3,372 locations and a total of 36,687 people on staff. It oversees $1 trillion in assets under management among its 2,864,234 client accounts, placing it among the largest financial advisory firms in the United States by assets under management. The firm provides financial advisory services to 4,459 charities and foundations. Of its 2,864,234 customer accounts, 23% belong to high-net-worth individuals who have at least $1 million in assets. The company has a number 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. Fees for financial management vary depending on which service is offered. Fees billed by Merrill Lynch, Pierce, Fenner & Smith Inc can consist of any blend of asset-based, fixed and commission-based fees.

Certifications and Registrations

Series 66

Years Registered*

3 years

Services Offered

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

Office Location

4049 Seneca St
Buffalo, NY 14224

Not sure which advisor is right for you? Use our matching tool.

Our matching tool simplifies the process of finding a financial advisor. To match you with top financial advisors nearby, we ask you a series of questions about your retirement plans, life status, investment goals and advisor preferences, which are all important topics to consider when choosing a financial advisor. Based on that information, we match you with financial advisors near you who suit your needs. Our matching tool has connected more individuals with financial advisors than any other service in the U.S. Click here to get matched with an advisor today.

Merrill Lynch, Pierce, Fenner & Smith Inc Brokerage Details

Total Assets Under Management


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


NY Average: 88
Total Number of Accounts


NY Average: 3,892
Average Account Size


NY Average: $1,917,921

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

Caitlin Derose Work History

Caitlin has been registered as a financial advisor for 3 years.*

2021 - Present (2 years)

Bank Of America, N.A

2020 - Present (3 years)

Merrill Lynch, Pierce, Fenner & Smith Inc (Crd: 7691)

2019 - 2020 (1 year)

Northtown Automotive Companies

2018 - 2019 (1 year)

Hsbc Bank Usa, N.A

2018 - 2019 (1 year)

Hsbc Secuities (Usa) Inc

2017 - 2017 (< 1 year)

M&T Securities

2017 - 2017 (< 1 year)

M&T Bank

2017 - 2018 (1 year)

Hsbc Securities (Usa) Inc

2017 - 2018 (1 year)

Hsbc Bank Usa, N.A

2016 - 2019 (3 years)

Kaplan University

2016 - 2020 (4 years)

Lehman Brothers Inc James W Giddens

2015 - 2017 (2 years)

Morgan Stanley Smith Barney LLC

2012 - 2015 (3 years)

Merrill Lynch, Pierce, Fenner & Smith Inc

*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.


Please visit the SEC profile of Caitlin Derose to learn whether or not they have any disclosures. It is important to do your due diligence when looking for an advisor.

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

Katelyn Gallagher
Scottsdale, AZ
Cristalle Vivona
Louisville, KY
Erika Voelker
New York, NY
Michael Gaffney
Chesterfield, MO
Bland Matthews
Saint Augustine, FL
Maria Russell
Minneapolis, MN
James Martin
Milwaukee, WI
Shari Lynne
Saint Petersburg, FL

The content in this profile was updated by SmartAsset on 4/16/2023. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact

The named financial professional and firm have not reviewed, approved, or endorsed this profile and are not responsible for its accuracy. Profile content is produced by SmartAsset independently of any business relationships that might exist between SmartAsset and the named financial professional and firm. Financial professionals and firms having business relationships with SmartAsset receive no special treatment or consideration in SmartAsset’s profiles.

This profile may include a firm or advisor that has a business relationship with SmartAsset, in which SmartAsset is compensated for lead referrals. SmartAsset is not a client of the aforementioned firms or advisors. SmartAsset did not receive compensation for including any of the firms or advisors in the aforementioned profile.

This page contains links to SmartAsset’s financial advisor matching tool, which may or may not match you with the advisor or firm mentioned in this profile. The matching tool does not include all available advisors and firms and matches based on specific criteria (investable assets, geography, and willingness to work with a remote advisor).

Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNER™ in the United States, which it authorizes the use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.

Let us help match you with the right financial advisor for your needs.

Answer a few questions to get a personalized match.
Get started