Kevin Roth
Kevin Roth is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Melville, NY, with 38 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
300 Broadhollow Rd, Melville, NY, 11747
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Regulatory History (1)
Customer Dispute
October 2000Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Previous Registrations
UBS Financial Services INC.
UBS Financial Services INC.Broker
Hsbc Securities (USA) INC.
Hsbc Securities (USA) INC.Broker
Hsbc Brokerage (USA) INC.Broker
Fahnestock & CO. INC.Broker
Prudential Securities IncorporatedBroker
T.R. Winston & Company, INC.Broker
Oppenheimer & CO., INC.Broker
Painewebber IncorporatedBroker
Bear, Stearns & CO. INC.Broker
E. F. Hutton & Company INCBroker
State Registrations1 state
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.