David Prockter
David Prockter is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in White Plains, NY, with 25 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
360 Hamilton Ave, White Plains, NY, 10601
Get directionsHistory
Regulatory History (3)
Customer Dispute
October 2014Customer Dispute
January 2010Customer Dispute
October 2008Other Business Activities
David provides advice to his parents regarding the restructuring of their S-Corp, Col-Lar Enterprises, as they prepare for retirement, dedicating minimal time. David also owns Prockter Aviation LLC, through which he plans to buy and lease a private aircraft, also dedicating minimal time.
Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Previous Registrations
UBS Financial Services INC.Broker
Citigroup Global Markets INC.Broker
State Registrations36 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.