Linda Parker-poole
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.
Linda Parker-poole, who also goes by Linda Marie Bayerl, Linda Marie Higgins, Linda Marie Parker, Linda Parker, Linda Marie Zitney, was a registered financial professional .
Linda is a previously registered financial professional and started their career in finance in 1989. Linda had worked at 13 firms and has passed the 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
October 23, 2009 - December 23, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 22, 2004 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 1, 1998 - December 15, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 26, 1997 - April 1, 1998
BARNETT INVESTMENTS, INC.
August 25, 1995 - December 9, 1996
LAIDLAW GLOBAL SECURITIES, INC.
April 5, 1995 - August 31, 1995
MORGAN STANLEY DW INC.
February 21, 1995 - March 31, 1995
ROYAL PALM INVESTMENTS, LTD.
September 30, 1994 - February 27, 1995
JWGENESIS SECURITIES, INC.
June 7, 1994 - October 27, 1994
D. BLECH & COMPANY, INCORPORATED
December 22, 1993 - April 26, 1994
ISLAND INVESTMENT SERVICES, INC.
July 10, 1992 - December 7, 1993
MOORS & CABOT, INC.
July 25, 1990 - June 11, 1992
IVY DISTRIBUTORS, INC.
January 2, 1990 - June 15, 1990
PRESCOTT, BALL & TURBEN, INC.
October 25, 1989 - January 2, 1990
GULFSTREAM FINANCIAL ASSOCIATES, 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.
