Karen
Phillips

Merrill Lynch, Pierce, Fenner & Smith Inc

CRD#4892340
Investment Advisor
in New York, NY
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About this Advisor

Karen Phillips is a financial advisor based in New York, New York, who has been in the industry for 14 years. Phillips is on the advisory team at Merrill Lynch, Pierce, Fenner & Smith Inc. They have spent the entirety of their career at Merrill Lynch, Pierce, Fenner & Smith Inc. Phillips maintains a Series 66 license, designating them as both a securities agent and an investment advisor representative, and is approved to serve investors in Florida. Merrill Lynch, Pierce, Fenner & Smith Inc is a registered investment firm that has its headquarters in New York, New York. It has offices in 2,958 locations and a total of 40,146 advisors. It manages $820 billion in total assets among its 2,272,151 client accounts, placing it among the biggest investment advisory firms in the country by assets under management. The firm advises 4,667 charities and foundations. Of its 2,272,151 customer accounts, just 3% are associated with high-net-worth clients who have at least $1 million in assets. The company has 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. A financial advisor's fee schedules largely vary depending on which service is offered. However, fees billed by Merrill Lynch, Pierce, Fenner & Smith Inc can include some combination of asset-based, fixed and commission-based fees.

Certifications and Registrations

Series 66

Years of Experience

14 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

One Bryant Park
New York, NY 10036

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Merrill Lynch, Pierce, Fenner & Smith Inc Brokerage Details

Total Assets Under Management

$797,284,337,467

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

41,217

NY Average: 88
Total Number of Accounts

2,472,247

NY Average: 3,892
Average Account Size

$322,494

NY 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

Karen Phillips Work History

Karen has 14 years of experience.

2004 - Present (15 years)

Merrill Lynch, Pierce, Fenner & Smith Inc

Disclosures

Karen Phillips has no disclosures.

Please visit their SEC profile for more details.

This content was compiled from the SEC and FINRA.

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