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Randall Smith

38 Years of Experience
Alpharetta, GA
1 DisclosureBroker

Randall Smith is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Alpharetta, GA, 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
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

10000 Avalon Blvd, Alpharetta, GA, 30009

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History

Regulatory History (1)
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Criminal
July 1982
Final Disposition
Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 2009 - Present · 16 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 2009 - Present · 16 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 2009 - Present · 16 yrs 7 mos
Previous Registrations
Banc of America Investment Services, INC.
January 1998 - October 2009 · 11 yrs 9 mos
Banc of America Investment Services, INC.Broker
January 1998 - October 2009 · 11 yrs 9 mos
NationssecuritiesBroker
June 1993 - January 1998 · 4 yrs 7 mos
Nationsbanc Securities, INC.Broker
March 1992 - June 1993 · 1 yr 3 mos
Nationsbanc Securities of Georgia, INC.Broker
June 1989 - March 1992 · 2 yrs 9 mos
The Stuart-James Company, IncorporatedBroker
April 1987 - May 1989 · 2 yrs 1 mo
State Registrations39 states
ALARAZCACOCTDCFLGAIAILKSKYLAMAMDMEMIMNMOMSNCNHNJNVNYOHORPAPRRISCTNTXUTVAWAWVWY
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.