Faye E. Hilpert
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CRD#: 7547278
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.
Faye E Hilpert, who also goes by Faye Hilpert, Faye Ellen Hoffman, was a registered financial professional .
Faye is a previously registered financial professional and started their career in finance in 2022. Faye had worked at 1 firm and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Faye Hilpert | Faye Ellen Hoffman
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.
Denton Property, Ltd. - I am a general and limited partner of this partnership. It is owned by me and my siblings as well as my uncle and holds property in Denton, Texas, which we were gifted or inherited. My father gifted his interest to my siblings and I in approximately January 2009. I devote approximately 1 hr/month on average to this entity outside of trading hours. The property is currently under contract for sale, and we are hopeful it will close in the fall. My duties include trying to get a gas well on the property plugged, as well as reviewing contracts related to the potential sale and communicating with our broker and attorney regarding such potential sale. The business holds family real estate, but is not in the regular business of buying and selling real estate, and thus I would not think it would be considered investment-related. Once we complete the sale of the land, we will likely either dissolve the partnership or use the partnership to hold land that is currently outside the partnership and is owned by the same owners (family legacy property). The official address of the partnership is Austin, Texas . Jean Hoffman Mgmt Co, LLC - I am a managing member of this LLC. My 2 siblings and uncle are also managing members. My grandmother, who passed away in July 2021 was a managing member as well and my father and uncle, as co-executors of her estate, are working though the disposition of her interest in the LLC. The purpose of the LLC is to manage J Hoffman Farms, Ltd., a partnership that owns a family farm that has been in my family for over 100 years. The farm is in Hood County, Texas. My grandmother operated the farm until her death with my uncle's help. Given my grandmother's recent death, we are working through the farm's operations going forward, but will likely be leasing the farm to my uncle for operation as he lives on the property. I have held this interest in the management company since January 2009 (gifted to me by my father), and my duties are approximately 1hr/month on average outside of trading hours. My duties relate to general structure of the operation. The official address of this business is PO Box 298, Granbury, Texas 76048. The business is not investment-related. I*1397366 For profit or not for profit: Name of outside business organization: Rental Property 1 Investment related: N Address of business: Atlantic Beach, North Carolina, 28512, United States Nature of business: Position, title, association: Co-owner with other family members, Start date of relationship: 7/19/2023 Number of hours devoted: 3 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: ,
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®
NoneExperience
Past
July 19, 2022 - November 10, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
RALEIGH, NC
Past
June 14, 2022 - November 10, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
RALEIGH, NC
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)BD
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.
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/14/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
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)BD
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
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
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
