Tarek Hamdy
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.
Tarek Hamdy, who also goes by Tarek G Hamdy, Tarek Gamil Hamdy, Terrey Hamdy, Terry Hamdy, was a registered financial professional .
Tarek is a previously registered financial professional and started their career in finance in 1995. Tarek had worked at 9 firms and has passed the Series 65, 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
July 26, 2016 - September 16, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 14, 2014 - May 26, 2016
DAVID LERNER ASSOCIATES, INC.
February 1, 2013 - April 25, 2013
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 3, 2010 - June 3, 2011
CHASE INVESTMENT SERVICES CORP.
December 9, 2004 - February 17, 2009
CITIGROUP GLOBAL MARKETS INC.
November 12, 2004 - December 16, 2004
CITICORP INVESTMENT SERVICES
February 29, 2000 - December 16, 2004
CITICORP INVESTMENT SERVICES
December 8, 1997 - February 4, 1999
UBS FINANCIAL SERVICES INC.
November 30, 1995 - October 10, 1997
MORGAN STANLEY DW INC.
June 28, 1995 - November 21, 1995
CITIGROUP GLOBAL MARKETS INC.
March 21, 1995 - August 4, 1995
H.J. MEYERS & CO., 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.
