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James Geosits

Merrill Lynch, Pierce, Fenner & Smith Incorporated
43 Years of Experience
Wyomissing, PA
1 DisclosureBroker
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James Geosits is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Wyomissing, PA, with 43 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include High Net Worth, Investment Management, Retirement Planning. Their firm serves 1,838,984 clients with $1800B in assets under management.

Merrill Lynch, Pierce, Fenner & Smith Incorporated
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
25502 advisors
Number of Clients
1,838,984 clients
Average Client Portfolio
$969K average
Assets Under Management
$1781.6B

Fee Structure

Investment management only (planning not offered)

Managed Account Advisors and Merrill Lynch charge an asset-based fee called the Account Fee, which consists of two parts:

  • Investment Management and Trust Fee — Paid to Bank of America for its services, with rates set in your client agreement and subject to negotiation based on your portfolio value and account size.
  • Style Manager Expense — Paid to the specific manager of your chosen strategy, generally ranging from 0.00% to 0.50% per year, and does not change based on portfolio size.

Total fees vary depending on the specific strategies and account size, and are deducted directly from your account on a regular basis.

View Full SEC Brochure

Location

985 Berkshire Blvd, Wyomissing, PA, 19610

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
September 2001
Award / Judgment
View Full SEC ReportHow to Read Disclosures
Other Business Activities

James owns rental property since 2012 and is also the owner of Geosits Enterprise, LLC since 1997, which is involved in townhouse construction. Both activities are investment-related and require minimal time.

Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
July 2005 - Present · 21 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
April 1983 - Present · 43 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
April 1983 - Present · 43 yrs 6 mos
Previous Registrations
Merrill Lynch Pierce Fenner & Smith INC.
March 1993 - January 2005 · 11 yrs 10 mos
State Registrations30 states
ALAZCACOCTDEFLGAIDILINLAMAMDMEMIMNMSNCNHNJNVNYOHORPASCTXVAWA
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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