William Cain
William Cain is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Exton, PA, with 40 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
224 Valley Creek Blvd, Exton, PA, 19341
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Regulatory History (2)
Customer Dispute
February 2011Customer Dispute
October 2002Employment 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
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Independent Financial GroupBroker
Jackson National Financial Services, INC.Broker
Pruco Securities CorporationBroker
State Registrations3 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.