Renee P. Vanek
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.
Renee Patricia Vanek, CFP®, who also goes by Renee Patricia Nyhlen, Renee Nyhlen, Renee Nyhlen Vanek, Renee Patricia Vanek, Renee Vanek, was a registered financial professional .
Renee is a previously registered financial professional and started their career in finance in 1986. Renee had worked at 11 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 20, 2019 - July 11, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 20, 2019 - July 11, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 11, 2018 - December 5, 2019
LPL FINANCIAL LLC
October 11, 2018 - December 5, 2019
LPL FINANCIAL LLC
November 3, 2016 - October 9, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 1, 2016 - October 9, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 8, 2015 - October 21, 2016
COMMONWEALTH FINANCIAL NETWORK
January 8, 2015 - October 21, 2016
COMMONWEALTH FINANCIAL NETWORK
January 16, 2013 - June 16, 2014
INVEST FINANCIAL CORPORATION
January 16, 2013 - June 16, 2014
INVEST FINANCIAL CORPORATION
July 5, 2007 - April 3, 2013
AFFINITY INVESTMENT SERVICES, LLC
July 5, 2007 - March 18, 2013
AFFINITY INVESTMENT SERVICES, LLC
November 21, 2005 - June 29, 2007
PEOPLE'S SECURITIES, INC.
April 14, 2003 - June 29, 2007
PEOPLE'S SECURITIES, INC.
March 4, 2003 - March 31, 2003
CETERA INVESTMENT SERVICES LLC
March 4, 2003 - March 31, 2003
CETERA INVESTMENT SERVICES LLC
June 17, 2002 - March 6, 2003
NATIONAL PLANNING CORPORATION
June 28, 2000 - March 6, 2003
NATIONAL PLANNING CORPORATION
October 2, 1997 - July 5, 2000
INVEST FINANCIAL CORPORATION
May 29, 1991 - September 23, 1997
PEOPLE'S SECURITIES, INC.
March 22, 1991 - June 11, 1991
WALL STREET ACCESS
February 2, 1990 - March 21, 1991
ROYAL HUTTON SECURITIES CORP.
May 18, 1987 - February 24, 1990
INVEST FINANCIAL CORPORATION
May 22, 1986 - May 1, 1987
ADVEST, 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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent 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.
