SJ
SJ

Sean Johnson

18 Years of Experience
Grosse Pointe, MI
1 DisclosureBroker

Sean Johnson is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Grosse Pointe, MI, 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
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

17000 Kercheval Ave, Grosse Pointe, MI, 48230

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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
June 2015
Denied
Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
November 2015 - Present · 10 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
November 2015 - Present · 10 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
November 2015 - Present · 10 yrs 6 mos
Previous Registrations
J.P. Morgan Securities LLC
October 2012 - November 2015 · 3 yrs 1 mo
J.P. Morgan Securities LLCBroker
October 2012 - November 2015 · 3 yrs 1 mo
Chase Investment Services CORP.
June 2011 - October 2012 · 1 yr 4 mos
Chase Investment Services CORP.Broker
June 2011 - October 2012 · 1 yr 4 mos
Fifth Third Securities, INC.
December 2010 - June 2011 · 6 mos
Fifth Third Securities, INC.Broker
December 2010 - June 2011 · 6 mos
Thrivent Investment Management INC.
April 2010 - December 2010 · 8 mos
Thrivent Investment Management INC.Broker
January 2009 - December 2010 · 1 yr 11 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
January 2008 - December 2008 · 11 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 2007 - December 2008 · 1 yr 2 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.