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Deborah Smogor

10 Years of Experience
South Bend, IN
1 DisclosureBroker

Deborah Smogor is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in South Bend, IN, with 10 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

100 N Michigan St, South Bend, IN, 46601

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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
October 2021
Settled
Other Business Activities

Deborah is a committee member for Women of Vision (WOV) at the YWCA, dedicating minimal time annually to raise awareness for domestic violence and empowering women. She is also a board member at YWCA North Central, spending a few hours per week attending committee meetings for finance, audit, and fundraising.

Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
February 2016 - Present · 10 yrs 5 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
December 2015 - Present · 10 yrs 7 mos
State Registrations33 states
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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.