Michael D. Flyer

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CRD#: 2378675

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.

Michael David Flyer, who also goes by Michael David Flyer, Michael Flyer, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1993. Michael had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael David Flyer | Michael Flyer

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Washington, NY 11050 Position: Member Not Investment Related (Real Estate Related) Flipping Single Family Homes- Buying, Renovating and selling homes (NO Rental Properties) Start Date: 03/20/2017 10 hours a month to other business / 0 hours a month during securities trading hours Duties: Involved in the purchase of homes and oversee the renovation process - Will not do any labor , nor will be apart of the selling process Compensation: $50,000.00 I*1158259 For profit or not for profit: Entity For Profit Name of outside business organization: Virtair Investment related: N Address of business: new hyde park, New York, 11040 Nature of business: ["S Corporation"] Position, title, association: ["Other"], Start date of relationship: 2/1/2023 Number of hours devoted: 16 hour(s) Weekly Number of hours devoted during trading hours: 0 Duties: Truck driver making deliveries in the evening. Hours are 5PM to midnight., Truck Driver

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 7, 2018 - May 16, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

WILLISTON PARK, NY

Past

June 6, 2018 - May 16, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

WILLISTON PARK, NY

Past

January 14, 2016 - April 5, 2018

CAPITAL ONE ADVISORS, LLC

RIA

CRD#: 136865

New York, NY

Past

December 21, 2015 - April 5, 2018

CAPITAL ONE INVESTING, LLC

CRD#: 45744

MERRICK, NY

Past

September 24, 2012 - April 24, 2014

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

HEWLETT, NY

Past

December 1, 2011 - April 10, 2012

MPS GLOBAL SECURITIES, LLC

CRD#: 148689

NEW YORK, NY

Past

June 6, 2011 - December 5, 2011

PARK AVENUE SECURITIES LLC

CRD#: 46173

WOODBURY, NY

Past

March 20, 2002 - July 19, 2002

NEWEDGE FINANCIAL INC.

CRD#: 27322

CHICAGO, IL

Past

January 27, 1995 - January 29, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

August 20, 1993 - August 31, 1993

CHATFIELD DEAN & CO., INC.

CRD#: 14714

GREENWOOD VILLAGE, CO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH PIERCE FENNER & SMITH | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MERRILL LYNCH PIERCE FENNER & SMITH INC.

CRD#: 7691 / SEC#: 801-14235, 8-7221

RIA

Registered Investment Advisory firm - SEC (12/8/1978 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/13/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/1/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/20/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/3/2011

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 3

Date: 1/27/1995

National Commodity Futures Examination

Current Firm

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH PIERCE FENNER & SMITH | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MERRILL LYNCH PIERCE FENNER & SMITH INC.

CRD#: 7691 / SEC#: 801-14235, 8-7221

RIA

Registered Investment Advisory firm - SEC (12/8/1978 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

One Bryant Park, New York, NY 10036

Mailing Address

150 N College St Nc1-028-29-04, Charlotte, NC 28255

Phone number

(800) 637-7455

Established

Delaware since 11/10/1958

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

33,689

SEC notice filing (49 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

MERRILL LYNCH FIDUCIARY ADVISORY SERVICES (12/3/2025)

MERRILL GUIDED INVESTING BROCHURE (11/14/2025)

MERRILL PERSONAL RETIREMENT STRATEGY (11/14/2025)

MERRILL GUIDED INVESTING WITH ADVISOR BROCHURE (11/14/2025)

MERRILL SMALL BUSINESS 401(K) ADVISORY SERVICE (11/10/2025)

MAA MLPFS 2A FOR SELECT PORTFOLIO SOLUTIONS (3/21/2025)

MERRILL EDGE ADVISORY ACCOUNT BROCHURE (3/21/2025)

ADVICE ACCESS BROCHURE (3/21/2025)

MERRILL LYNCH INSTITUTIONAL INVESTMENT CONSULTING (3/21/2025)

MERRILL LYNCH INVESTMENT ADVISORY PROGRAM BROCHURE (3/21/2025)

MERRILL LYNCH MANAGED ACCOUNT SERVICE BROCHURE (3/21/2025)

MERRILL LYNCH STRATEGIC PORTFOLIO ADVISOR SERVICE BROCHURE (3/21/2025)

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	Cover Page	Report
08/24/2023	Cover Page	Report
01/27/2023	Cover Page	Report

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.

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Firm Stability Insights

Michael D. Flyer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CAPITAL ONE ADVISORS, LLC

CAPITAL ONE INVESTING, LLC

CITIGROUP GLOBAL MARKETS INC.

MPS GLOBAL SECURITIES, LLC

PARK AVENUE SECURITIES LLC

NEWEDGE FINANCIAL INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CHATFIELD DEAN & CO., INC.

Primary Firm SEC Registration

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 1/13/2016

Series 63

Date: 7/1/2011

SIE

Date: 10/1/2018

Series 7

Date: 2/20/2013

Series 6

Date: 6/3/2011

Series 3

Date: 1/27/1995

Current Firm

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Contact information

SEC notice filing (49 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

TRUST BUT VERIFY

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