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Peter Henriques

Merrill Lynch, Pierce, Fenner & Smith Incorporated
20 Years of Experience
Austin, TX
1 DisclosureBroker
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Peter Henriques is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Austin, TX, with 20 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,738,212 clients with $1500B in assets under management.

Merrill Lynch, Pierce, Fenner & Smith Incorporated
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
25581 advisors
Number of Clients
1,738,212 clients
Average Client Portfolio
$869K average
Assets Under Management
$1511.1B

Fee Structure

Investment management only (planning not offered)

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.

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Location

12574 Research Blvd, Corp Employee Banking and Investments, Austin, TX, 78759

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
April 2008
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Peter is a 50% owner of HCY Global, LLC, his wife's retail/wholesale business, since 2011, and spends minimal time on bookkeeping/tax filing. He also makes fishing YouTube videos, spending a few hours per week on this activity.

Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 2021 - Present · 4 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 2021 - Present · 4 yrs 8 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
May 2020 - July 2021 · 1 yr 2 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
May 2020 - July 2021 · 1 yr 2 mos
Charles Schwab & CO., INC.Broker
February 2015 - May 2020 · 5 yrs 3 mos
Charles Schwab & CO., INC.
February 2015 - May 2020 · 5 yrs 3 mos
Wells Fargo Advisors, LLC
December 2013 - February 2015 · 1 yr 2 mos
Wells Fargo Advisors, LLCBroker
December 2013 - February 2015 · 1 yr 2 mos
VALIC Financial Advisors, INC.
May 2013 - January 2014 · 8 mos
VALIC Financial Advisors, INC.Broker
April 2013 - January 2014 · 9 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
September 2007 - April 2013 · 5 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 2007 - April 2013 · 5 yrs 7 mos
Morgan Stanley & CO., Incorporated
April 2007 - October 2007 · 6 mos
Morgan Stanley & CO., IncorporatedBroker
April 2007 - October 2007 · 6 mos
Morgan Stanley
October 2005 - April 2007 · 1 yr 6 mos
Morgan Stanley Dw INC.Broker
September 2005 - April 2007 · 1 yr 7 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth

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
No exam information available for this advisor.
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