CP
CP

Carmine Pezzella

30 Years of Experience
Wayne, PA
1 DisclosureBroker

Carmine Pezzella is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Wayne, PA, 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
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

724 W Lancaster Ave, Wayne, PA, 19087

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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 2009
Denied
Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
March 2015 - Present · 11 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
March 2015 - Present · 11 yrs 2 mos
Previous Registrations
Morgan StanleyBroker
January 2013 - March 2015 · 2 yrs 2 mos
Boenning & Scattergood, INC.Broker
August 2010 - February 2012 · 1 yr 6 mos
Hightower Securities, LLCBroker
October 2009 - August 2010 · 10 mos
Hightower Advisors, LLC
October 2009 - August 2010 · 10 mos
Donnelly Steen & Company
May 2009 - November 2009 · 6 mos
UBS Financial Services INC.
October 2006 - December 2008 · 2 yrs 2 mos
UBS Financial Services INC.Broker
September 1997 - December 2008 · 11 yrs 3 mos
Dean Witter Reynolds INC.Broker
April 1995 - September 1997 · 2 yrs 5 mos
Painewebber IncorporatedBroker
January 1995 - May 1995 · 4 mos
Kidder, Peabody & CO. IncorporatedBroker
December 1994 - January 1995 · 1 mo
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
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.
Carmine Pezzella - Financial Advisor | TrueAdvisor