RD
RD

Robin Dziuba

41 Years of Experience
Providence, RI
1 DisclosureBroker

Robin Dziuba is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Providence, RI, with 41 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,738,212 clients with $1500B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
25581 advisors
Number of Clients
1,738,212 clients
Average Client Portfolio
$869K average
Assets Under Management
$1511.1B

Fee Structure

Investment management only (planning not offered)

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.

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Location

1 Financial Plaza, Providence, RI, 02903

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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
November 2001
Closed-No Action
Other Business Activities

Robin is a committee member for St. Elizabeth Community, a non-profit organization providing nursing homes and services for the elderly. Robin dedicates minimal time quarterly to reviewing investment policies and monitoring investment options.

Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 1996 - Present · 29 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
March 1991 - Present · 35 yrs 2 mos
Previous Registrations
First American National Securities, INC.Broker
July 1984 - November 1990 · 6 yrs 4 mos
State Registrations29 states
AKARAZCACOCTDCFLGAHIILINMAMDMEMINCNHNJNYOHORPARISCTXVAVTWA
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.