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CFP

John Shaw

Merrill Lynch, Pierce, Fenner & Smith Incorporated
31 Years of Experience
Salt Lake City, UT
1 DisclosureBroker
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John Shaw is a CFP-designated registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Salt Lake City, UT, with 31 years of industry experience. John 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

1100 E 6600 S, Pbig - Cottonwood Private Wealth, Salt Lake City, UT, 84121

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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
May 2008
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
July 2015 - Present · 11 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
July 2015 - Present · 11 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
July 2015 - Present · 11 yrs 3 mos
Previous Registrations
Barclays Capital INC.
January 2011 - July 2015 · 4 yrs 6 mos
Barclays Capital INC.Broker
January 2011 - July 2015 · 4 yrs 6 mos
Thomas Weisel Partners LLC
January 2000 - January 2011 · 11 yrs
Thomas Weisel Partners LLCBroker
November 1999 - January 2011 · 11 yrs 2 mos
Banc of America Securities LLCBroker
October 1997 - December 1999 · 2 yrs 2 mos
Montgomery SecuritiesBroker
October 1995 - October 1997 · 2 yrs
State Registrations26 states
AZCACOCTDCDEFLKSMANCNHNJNMNVNYORPARISDTNTXUTVAWAWIWY
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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