Shawn Farrokh
Shawn Farrokh is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Houston, TX, with 18 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
800 Capitol St, Houston, TX, 77002
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Regulatory History (1)
Customer Dispute
June 2014Other Business Activities
Shawn co-owns a beach house in Galveston, TX, operating it as a VRBO/AirBnB, dedicating minimal time to it. Shawn also owns a rental property in Galveston, dedicating minimal time to it.
Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Previous Registrations
Charles Schwab & CO., INC.
Charles Schwab & CO., INC.Broker
Wells Fargo Advisors, LLC
Wells Fargo Advisors, LLCBroker
Dresdner Kleinwort Securities LLCBroker
Pershing LLCBroker
Pershing Trading Company, L.P.Broker
State Registrations28 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.