Michael P. Karhanek
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael Paul Karhanek was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1981. Michael had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2009 - November 25, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - November 25, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 12, 1999 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 12, 1998 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 26, 1995 - July 12, 1999
BA INVESTMENT SERVICES, INC.
March 16, 1994 - June 1, 1995
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
June 16, 1993 - March 10, 1994
CAL FED INVESTMENTS
September 27, 1990 - September 2, 1992
GRIFFIN FINANCIAL SERVICES
February 5, 1990 - August 7, 1990
MESIROW INVESTMENT SERVICES, INC.
June 12, 1989 - February 21, 1990
DERAND/PENNINGTON/BASS, INC.
July 26, 1988 - June 15, 1989
DESIGN STRATEGIES, INC.
October 5, 1983 - July 28, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
November 29, 1982 - October 6, 1983
LOWRY FINANCIAL SERVICES CORPORATION
November 20, 1981 - November 24, 1982
BROOK INVESTMENTS, INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
