Richard Soares
Richard Soares is a CFP-designated registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Flagstaff, AZ, with 43 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,738,212 clients with $1500B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
The program's fees consist of two parts: the fee you pay to Bank of America for its services, and a fee for the specific investment strategy you choose. The strategy fee, called the Style Manager Expense, generally ranges from 0.00% to 0.50% of your assets annually. Clients investing in strategies managed by related entities will not be charged a Style Manager Expense.
Location
2 S Beaver St, Flagstaff, AZ, 86001
Get directionsHistory
Regulatory History (4)
Customer Dispute
August 2011Customer Dispute
October 2001Customer Dispute
April 2000Customer Dispute
November 1995Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Previous Registrations
Morgan Stanley & CO. Incorporated
Morgan Stanley & CO. IncorporatedBroker
Morgan Stanley
Morgan Stanley Dw INC.Broker
State Registrations4 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.