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Kathryn Schubert

Merrill Lynch, Pierce, Fenner & Smith Incorporated
32 Years of Experience
Lincoln, NE
2 DisclosuresBroker
View SEC Summary
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Kathryn Schubert is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Lincoln, NE, with 32 years of industry experience. Kathryn is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include High Net Worth, Investment Management, Retirement Planning. Their firm serves 1,838,984 clients with $1800B in assets under management.

Merrill Lynch, Pierce, Fenner & Smith Incorporated
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
25502 advisors
Number of Clients
1,838,984 clients
Average Client Portfolio
$969K average
Assets Under Management
$1781.6B

Fee Structure

Investment management only (planning not offered)

Managed Account Advisors and Merrill Lynch charge an asset-based fee called the Account Fee, which consists of two parts:

  • Investment Management and Trust Fee — Paid to Bank of America for its services, with rates set in your client agreement and subject to negotiation based on your portfolio value and account size.
  • Style Manager Expense — Paid to the specific manager of your chosen strategy, generally ranging from 0.00% to 0.50% per year, and does not change based on portfolio size.

Total fees vary depending on the specific strategies and account size, and are deducted directly from your account on a regular basis.

View Full SEC Brochure

Location

301 S 12th St, Lincoln, NE, 68508

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History

Regulatory History (2)
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
June 2009
Denied
Customer Dispute
November 2004
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Kathryn serves as a power of attorney for multiple individuals and entities. These activities are not investment-related and require minimal time.

Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
February 1998 - Present · 28 yrs 8 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
July 1994 - Present · 32 yrs 3 mos
State Registrations37 states
ALAZCACOCTFLGAIAIDILINKSKYLAMAMDMIMNMONCNENJNVNYOHOKORPASCSDTNTXUTVAWAWIWY
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.
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