Lewis Phillips
Lewis Phillips is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Oakland, CA, with 29 years of industry experience. Lewis 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.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
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.
Location
1111 Broadway, Oakland, CA, 94607
Get directionsHistory
Regulatory History (1)
Customer Dispute
February 2008Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Previous Registrations
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Citicorp Investment Services
Citicorp Investment ServicesBroker
Wm Financial Services, INC.Broker
Thomas F. White & CO., IncorporatedBroker
H.J. Meyers & CO., INC.Broker
Smith Culver InvestmentsBroker
H.J. Meyers & CO., INC.Broker
State Registrations2 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.
Exams
More Advisors
- Chungyanjoanne LoMerrill Lynch, Pierce, Fenner & Smith Incorporated
- Barry WilliamsMerrill Lynch, Pierce, Fenner & Smith Incorporated
- Gregory AndersonMerrill Lynch, Pierce, Fenner & Smith Incorporated
- Aaron HudsonMerrill Lynch, Pierce, Fenner & Smith Incorporated
- Sean CookMerrill Lynch, Pierce, Fenner & Smith Incorporated
- Timothy ScoreMerrill Lynch, Pierce, Fenner & Smith Incorporated