Eva A. Zeff
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.
Eva Alison Zeff, CFA, who also goes by Eva Alison Arruda, Eva Gellman, Eva A Zeff, Eva Alison Zeff Ms, was a registered financial professional .
Eva is a previously registered financial professional and started their career in finance in 1996. Eva had worked at 9 firms and has passed the Series 66, 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
November 16, 2015 - August 7, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 16, 2015 - August 7, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 30, 2015 - November 30, 2015
UBS FINANCIAL SERVICES INC.
April 30, 2015 - November 30, 2015
UBS FINANCIAL SERVICES INC.
March 20, 2009 - May 4, 2015
OPPENHEIMER & CO. INC.
March 20, 2009 - May 4, 2015
OPPENHEIMER & CO. INC.
June 18, 2008 - March 23, 2009
STANFORD GROUP COMPANY
May 22, 2008 - March 23, 2009
STANFORD GROUP COMPANY
May 14, 2007 - October 11, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 12, 2007 - October 11, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 29, 2006 - April 18, 2007
BLACKROCK INVESTMENT MANAGEMENT, LLC
September 29, 2006 - April 18, 2007
BLACKROCK INVESTMENTS, LLC
June 4, 2003 - September 29, 2006
MERRILL LYNCH INVESTMENT MANAGERS LP
June 4, 2003 - September 29, 2006
FAM DISTRIBUTORS, INC.
April 19, 1999 - October 30, 2002
LEHMAN BROTHERS INC.
December 6, 1996 - April 28, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
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.
