Lucia
Marshall

Merrill Lynch, Pierce, Fenner & Smith Inc

CRD#4357186
Investment Advisor
in Winston Salem, NC

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About this Advisor

Lucia Marshall is a financial advisor working in Winston Salem, North Carolina with 17 years of relevant experience. Marshall is an employee of Merrill Lynch, Pierce, Fenner & Smith Inc. Over the course of their career, they have held roles at Merrill Lynch, Pierce, Fenner & Smith Inc and Bank Of America, N.A. Marshall has Series 63 and Series 66 licenses, which qualify them as a securities representative, and is approved to serve investors in North Carolina and Texas. Merrill Lynch, Pierce, Fenner & Smith Inc is a registered investment firm that has its headquarters in New York, NY. The investment advisory business has offices in 3,372 locations and a total of 36,687 employees. It controls $1 trillion in assets among its 2,864,234 customer accounts, making it one of the largest firms in the nation by assets under management. The firm advises 4,459 charitable organizations. Of its 2,864,234 customer accounts, 23% belong to high-net-worth individuals who have at least $1 million in assets. The company performs a diverse range of services, such as 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 advice usually vary depending on which services are provided. Fees billed by Merrill Lynch, Pierce, Fenner & Smith Inc most likely include any combination of asset-based, fixed and commission-based fees.

Certifications and Registrations

Series 63, Series 66

Years Registered*

17 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

380 Knollwood St
Winston Salem, NC 27103

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Merrill Lynch, Pierce, Fenner & Smith Inc Brokerage Details

Total Assets Under Management

$1,093,689,238,206

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

36,687

NC Average: 88
Total Number of Accounts

2,864,234

NC Average: 3,892
Average Account Size

$381,844

NC 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

Lucia Marshall Work History

Lucia has been registered as a financial advisor for 17 years.*

2009 - Present (15 years)

Bank Of America, N.A

2006 - Present (18 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.

Disclosures

Please visit the SEC profile of Lucia Marshall 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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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 profile-compliance@smartasset.com.

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