Sean Waltz
Sean Waltz is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Phoenix, AZ, with 32 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
2555 E Camelback Rd, Phoenix, AZ, 85016
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Regulatory History (2)
Customer Dispute
July 2004Customer Dispute
November 1994Other Business Activities
Sean is an advisory board member for the Boys & Girls Club of Metro Phoenix, a non-profit charitable organization, since 2015. He spends minimal time on this activity, consulting on a subcommittee regarding a small account managed by an independent firm.
Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Previous Registrations
Banc of America Investment Services, INC.
Banc of America Investment Services, INC.Broker
Ba Investment Services, INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Olde Discount CorporationBroker
State Registrations33 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.