Rita Swann
Rita Swann is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in The Woodlands, TX, with 30 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
9595 Six Pines Dr, The Woodlands, TX, 77380
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Rita is the trustee of a personal trust established in 2014 to protect assets and maintain their value. She spends minimal time on this activity.
Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Previous Registrations
Morgan Stanley
Morgan StanleyBroker
Next Financial Group, INC.
Next Financial Group, INC.Broker
Transamerica Financial Advisors, INCBroker
Transamerica Financial Advisors, INCBroker
Transamerica Financial Advisors, INCBroker
National Planning CorporationBroker
Barclays Capital INC.Broker
Pershing LLCBroker
Bear, Stearns Securities CORP.Broker
Bear, Stearns & CO. INC.Broker
Financial Network Investment CorporationBroker
American Industries Retirement Securities CorporationBroker
Sanders Morris Mundy INC.Broker
Kidder, Peabody & CO. IncorporatedBroker
Everen Securities, INC.Broker
Shearson Lehman Hutton INC.Broker
Painewebber IncorporatedBroker
State Registrations53 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.