Linda M. Poiesz
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.
Linda Marie Poiesz, who also goes by Linda Poiesz Foye, Linda Foye, Linda Poiesz Hambleton, Linda Hambleton, Linda Park, Linda M Poiesz, Linda M Park, was a registered financial professional .
Linda is a previously registered financial professional and started their career in finance in 1998. Linda had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 24, 2022 - November 2, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 23, 2022 - November 2, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 3, 2014 - December 1, 2021
MORGAN STANLEY
June 1, 2009 - December 1, 2021
MORGAN STANLEY
November 5, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
April 12, 2006 - March 26, 2007
PARKER FINANCIAL CORP.
August 29, 2001 - January 12, 2006
SECURITIES AMERICA, INC.
March 21, 2000 - June 20, 2001
FCG ADVISORS, LLC
July 28, 1998 - March 2, 2000
PRUDENTIAL EQUITY GROUP, LLC
April 17, 1998 - June 30, 1998
RAYMOND JAMES FINANCIAL SERVICES, 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.
