Sean Gaffey
Sean Gaffey is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in New York, NY, with 24 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
One Bryant Park, New York, NY, 10036
Get directionsHistory
Regulatory History (8)
Customer Dispute
June 2010Customer Dispute
August 2009Customer Dispute
March 2009Customer Dispute
October 2008Customer Dispute
September 2008Customer Dispute
August 2008Customer Dispute
July 2008Customer Dispute
April 2008Other Business Activities
Sean's wife does consulting work in branding, marketing, PR, and communications through Spike Island LLC, which Sean co-owns. He spends minimal time on this activity.
Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Previous Registrations
Banc of America Investment Services, INC.
Banc of America Investment Services, INC.Broker
E*trade Securities LLCBroker
Wall Street Access Advanced Strategies, LLC
Wall Street AccessBroker
UBS Painewebber INC.Broker
Cibc World Markets CORP.Broker
State Registrations33 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.