Matthew E. Booth
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.
Matthew Elmore Booth, who also goes by Matthew E Booth, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1997. Matthew had worked at 9 firms and has passed the Series 63, Series 65, 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
January 27, 2020 - August 23, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 21, 2020 - August 23, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 15, 2012 - February 18, 2020
HANCOCK WHITNEY INVESTMENT SERVICES INC.
February 13, 2012 - February 18, 2020
HANCOCK WHITNEY INVESTMENT SERVICES INC.
February 13, 2009 - January 11, 2012
BB&T INVESTMENT SERVICES, INC.
January 27, 2009 - January 11, 2012
BB&T INVESTMENT SERVICES, INC.
March 20, 2006 - December 31, 2008
BB&T INVESTMENT SERVICES, INC.
March 16, 2006 - December 31, 2008
BB&T INVESTMENT SERVICES, INC.
July 8, 2004 - January 19, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 6, 2004 - January 19, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 12, 2003 - July 6, 2004
LEGACY ADVISORY SERVICES, INC.
August 1, 2003 - July 6, 2004
LEGACY FINANCIAL SERVICES, INC.
August 13, 2001 - February 19, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 8, 2001 - February 19, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 1, 1999 - April 11, 2001
FIDELITY BROKERAGE SERVICES LLC
January 3, 1998 - November 1, 1999
FIDELITY DISTRIBUTORS COMPANY LLC
September 24, 1997 - December 5, 1997
SIGNATOR INVESTORS, 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.
Company Information
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Financial AdvisorCRD#: 7691TRUST BUT VERIFY
Monitor Matthew Booth
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