Richard Sterling
Richard Sterling is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Charlotte, NC, with 11 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
620 S Tryon St, Charlotte, NC, 28255
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Richard is involved in several outside business activities. He is the owner of a sole proprietorship, working as an actor in local films and commercials, dedicating minimal time annually, and he performs secretarial duties for his wife's LLC, Happy Silver LLC, spending minimal time quarterly. Richard also provides advice and cash management to the charity Carolina Breast Friends.
Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations11 states
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