Diane Finch
Diane Finch is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Boca Raton, FL, with 23 years of industry experience. Diane 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
Boca Raton, FL
Get directionsHistory
Regulatory History (1)
Financial
July 2017Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Previous Registrations
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Morgan Stanley
Morgan StanleyBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Prudential Financial Planning Services
Pruco Securities, LLC.Broker
Northwestern Mutual Investment Services,llc
Northwestern Mutual Investment Services, LLCBroker
Park Avenue Securities LLC
Park Avenue Securities LLCBroker
Salomon Smith Barney INC.Broker
State Registrations53 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
- Craig NombergMerrill Lynch, Pierce, Fenner & Smith Incorporated
- Mylene BarcelonaMerrill Lynch, Pierce, Fenner & Smith Incorporated
- John RoggeMerrill Lynch, Pierce, Fenner & Smith Incorporated
- Julie KriegMerrill Lynch, Pierce, Fenner & Smith Incorporated
- Julianne WeisshautMerrill Lynch, Pierce, Fenner & Smith Incorporated
- Roy CookMerrill Lynch, Pierce, Fenner & Smith Incorporated