Sharon D. Byrd
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.
Sharon Denise Byrd, who also goes by Davis Byrd, Sharon Byrd, Sharon Denise Davis, was a registered financial professional .
Sharon is a previously registered financial professional and started their career in finance in 1994. Sharon had worked at 14 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2020 - July 21, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 21, 2020 - July 21, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 30, 2018 - March 9, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
August 1, 2017 - July 2, 2018
TRANSAMERICA INVESTORS SECURITIES, LLC
January 10, 2014 - July 6, 2017
T. ROWE PRICE INVESTMENT SERVICES, INC.
January 1, 2008 - September 4, 2013
FIDELITY BROKERAGE SERVICES LLC
February 6, 2006 - March 31, 2008
STRATEGIC ADVISERS LLC
January 7, 2005 - January 1, 2008
FIDELITY DISTRIBUTORS COMPANY LLC
February 25, 2004 - December 31, 2004
FIDELITY DISTRIBUTORS COMPANY LLC
August 28, 2002 - February 5, 2004
FORT WASHINGTON INVESTMENT ADVISORS INC
January 7, 2002 - April 7, 2002
W&S BROKERAGE SERVICES, INC.
June 12, 2001 - December 31, 2001
IFS FUND DISTRIBUTORS, INC.
June 21, 2000 - April 24, 2001
SBK-BROOKS INVESTMENT CORP.
February 17, 1998 - May 19, 2000
LOOMIS SAYLES DISTRIBUTORS, L.P.
March 5, 1996 - April 9, 1996
PRUDENTIAL EQUITY GROUP, LLC
April 25, 1994 - October 17, 1994
RONEY & CO. L.L.C.
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.
