Richard Smalley
Richard Smalley is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Sarasota, FL, 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
1819 Main St, Sarasota, FL, 34236
Get directionsHistory
Regulatory History (1)
Customer Dispute
December 1987Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Previous Registrations
Prudential Securities IncorporatedBroker
Painewebber IncorporatedBroker
Kashner Davidson Securities CorporationBroker
J. W. Gant & Associates, INC.Broker
R.B. Marich, INC.Broker
J. W. Gant & Associates, INC.Broker
State Registrations30 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.