Richard Phelan
Richard Phelan is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Oak Brook, IL, with 55 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
2021 Spring Rd, Oak Brook, IL, 60523
Get directionsHistory
Regulatory History (1)
Customer Dispute
December 2001Other Business Activities
Richard is the chair of a fundraising capital campaign for Ray Graham Assoc., a non-profit organization that plans to raise money to improve housing for clients with disabilities. The filing does not specify the amount of time Richard dedicates to this activity.
Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith, INC.Broker
Goodbody & CO. IncorporatedBroker
State Registrations26 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.