S. Gale
S. Gale is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Scottsdale, AZ, with 43 years of industry experience. S. 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.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
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.
Location
14636 N Scottsdale Rd, Scottsdale, AZ, 85254
Get directionsHistory
Regulatory History (2)
Customer Dispute
November 2002Criminal
October 1982Other Business Activities
Scott assists in organizing a golf tournament for Fresh Start Women's Foundation, a non-profit organization. He is also a managing member of Adobeview42, LLC, Four Peaks, LLC, Gale Business Group, and Palomino Business Group, LLC, which hold real estate; the Palomino Business Group generates rental income.
Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
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.
Exams
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