Michael E. Bitterly
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 E Bitterly, who also goes by Michael Ernest Bitterly, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1982. Michael had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 8 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 12, 2014 - June 30, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 29, 2006 - April 4, 2014
BLACKROCK INVESTMENT MANAGEMENT, LLC
September 29, 2006 - April 4, 2014
BLACKROCK INVESTMENTS, LLC
October 9, 2002 - September 29, 2006
MERRILL LYNCH INVESTMENT MANAGERS LP
October 9, 2002 - September 29, 2006
FAM DISTRIBUTORS, INC.
July 16, 1995 - October 9, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 16, 1987 - October 9, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 2, 1985 - January 15, 1988
E. F. HUTTON & COMPANY INC
September 17, 1984 - August 6, 1985
MARVEST SECURITIES, INC.
June 2, 1983 - July 31, 1984
LEHMAN BROTHERS INC.
May 24, 1982 - June 2, 1983
UNDERHILL ASSOCIATES, INCORPORATED
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
Series 8
Date: 8/6/1993
General Securities Sales Supervisor Examination (Options Module & General Module)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.
