Nancy Dowling

Some features on this profile are disabled

CRD#: 4435552

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.

Nancy Dowling, who also goes by Nancy Ellen Dowling Ms, Nancy Ellen Dowling, Nancy E Dowling, was a registered financial professional .

Nancy is a previously registered financial professional and started their career in finance in 2001. Nancy had worked at 8 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 7 exams.

Aliases

Nancy Ellen Dowling Ms | Nancy Ellen Dowling | Nancy E Dowling

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.

I*1491294 For profit or not for profit: Entity Charitable Name of outside business organization: Shore Medical Center Investment related: No Address of business: Somers Point, New Jersey, 08244 Nature of business: Hospital or Healthcare System Position, title, association: Employee Start date of relationship: 9/19/2023 Number of hours devoted: 8 hours Monthly Number of hours devoted during trading hours: 0 Duties: Liaison for donors when they need to access the Emergency Department I*: 2498309 Entity Type: Rental Property Name of OBA: Rental Property 1 Address: Ocean City, NJ 08226 Investment Related: No Position, Title, Association: Sole Owner Employee Start Date: 06/21/2025 Number of Hours: 2 hrs mthly Number of Hours during trading: 0 Duties: Owner of rental property

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

May 8, 2025 - August 3, 2026

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

EGG HARBOR TOWNSHIP, NJ

Past

May 8, 2025 - August 3, 2026

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

EGG HARBOR TOWNSHIP, NJ

Past

October 4, 2023 - May 7, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

MOUNT LAUREL, NJ

Past

October 3, 2023 - May 7, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

MOUNT LAUREL, NJ

Past

September 29, 2022 - April 19, 2023

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

OCEAN CITY, NJ

Past

August 29, 2022 - April 19, 2023

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

OCEAN CITY, NJ

Past

March 12, 2007 - May 29, 2007

TD AMERITRADE, INC.

RIA

CRD#: 7870

MARLTON, NJ

Past

March 12, 2007 - May 29, 2007

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

MARLTON, NJ

Past

March 12, 2007 - May 29, 2007

TD AMERITRADE, INC.

CRD#: 7870

MARLTON, NJ

Past

March 29, 2006 - December 7, 2006

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

EGG HARBOR TOWNSHIP, NJ

Past

March 29, 2006 - December 7, 2006

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

EGG HARBOR TOWNSHIP, NJ

Past

March 14, 2006 - March 28, 2006

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

MARLTON, NJ

Past

February 13, 2006 - March 28, 2006

PRINCIPAL SECURITIES, INC.

CRD#: 1137

MARLTON, NJ

Past

February 10, 2004 - January 3, 2005

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

LINWOOD, NJ

Past

February 4, 2004 - January 3, 2005

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

June 1, 2002 - July 2, 2002

J.J.B. HILLIARD, W.L. LYONS, LLC

CRD#: 453

LOUISVILLE, KY

Past

August 27, 2001 - June 1, 2002

PNC BROKERAGE CORP

CRD#: 34671

PITTSBURGH, PA

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 66

Date: 9/28/2022

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/2/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/29/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 6/30/2022

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/25/2001

General Securities Representative 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)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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 INVESTMENT ADVISORY PROGRAM BROCHURE (1/5/2026)

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)

ADVICE ACCESS BROCHURE (3/21/2025)

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

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

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

MERRILL LYNCH MANAGED ACCOUNT 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
12/15/2025	Cover Page	Report
11/25/2024	Cover Page	Report
08/24/2023	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.

Similar Advisors

Guy Peel

OSAIC WEALTH, INC.

IAR

HELENA, MT

Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

IAR

ESTERO, FL

Jeffrey Meotti

MORGAN STANLEY

IAR

MADISON, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Nancy Dowling

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

J.J.B. HILLIARD, W.L. LYONS, LLC

PNC BROKERAGE CORP

Primary Firm SEC Registration

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 9/28/2022

Series 63

Date: 3/2/2004

Series 7TO

Date: 8/29/2022

SIE

Date: 6/30/2022

Series 7

Date: 8/25/2001

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

Similar Advisors