Gerry L. Smith
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.
Gerry Lee Smith was a registered financial professional .
Gerry is a previously registered financial professional and started their career in finance in 1989. Gerry had worked at 9 firms and has passed the Series 66, 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 12, 2015 - November 26, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 6, 2015 - November 26, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 1, 2015 - November 18, 2015
ALLSTATE FINANCIAL ADVISORS, LLC
March 24, 2015 - November 18, 2015
ALLSTATE FINANCIAL SERVICES, LLC
January 10, 2012 - March 28, 2014
FIFTH THIRD SECURITIES, INC.
January 9, 2012 - March 28, 2014
FIFTH THIRD SECURITIES, INC.
January 29, 2009 - November 21, 2011
BB&T INVESTMENT SERVICES, INC.
January 28, 2009 - November 21, 2011
BB&T INVESTMENT SERVICES, INC.
August 29, 2007 - December 31, 2008
BB&T INVESTMENT SERVICES, INC.
August 2, 2007 - December 31, 2008
BB&T INVESTMENT SERVICES, INC.
June 20, 2005 - September 13, 2006
WELLS FARGO CLEARING SERVICES, LLC
October 8, 2004 - May 2, 2005
TRUIST INVESTMENT SERVICES, INC.
September 30, 2004 - May 2, 2005
TRUIST INVESTMENT SERVICES, INC.
August 22, 1989 - June 28, 1993
IDS LIFE INSURANCE COMPANY
August 22, 1989 - June 28, 1993
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
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.
