Thierry P. Albertine
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.
Thierry Peter Albertine was a registered financial professional .
Thierry is a previously registered financial professional and started their career in finance in 1985. Thierry had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 22, 2015 - July 12, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 22, 2015 - July 12, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 4, 2006 - April 15, 2014
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
December 17, 2005 - April 15, 2014
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
February 14, 2005 - November 7, 2005
KOBREN INSIGHT MANAGEMENT INC
February 10, 2005 - November 7, 2005
KOBREN INSIGHT BROKERAGE, INC
March 28, 2003 - January 25, 2005
CHARLES SCHWAB & CO., INC.
March 30, 2000 - January 25, 2005
CHARLES SCHWAB & CO., INC.
May 14, 1999 - February 23, 2000
KEYBANC CAPITAL MARKETS INC.
February 15, 1998 - May 14, 1999
KEY INVESTMENTS INC.
November 7, 1989 - February 4, 1998
FIDELITY BROKERAGE SERVICES LLC
October 22, 1985 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
March 27, 1985 - October 4, 1989
AMERIPRISE FINANCIAL SERVICES, LLC
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: 3/16/1995
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.
