Gaines Walker
Gaines Walker is a CFP-designated registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Knoxville, TN, with 43 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 S Gay St, Knoxville, TN, 37929
Get directionsHistory
Regulatory History (4)
Regulatory
December 1993Regulatory
September 1993Customer Dispute
November 1992Customer Dispute
July 1991Other Business ActivitiesSells Insurance
Gaines is involved in several business activities, including managing a rental house owned by his wife and daughters, being a partner in investment and computer sales partnerships, and acting as a trustee for family and retirement trusts. He is also a licensed agent in Tennessee to sell life and health insurance, and was previously a licensed real estate broker.
Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Previous Registrations
Ssn Advisory, INC.
Securities Service Network, INC.Broker
Equity Financial CorporationBroker
Equity Financial CorporationBroker
A. C. Masingill & Associates, INC.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.