Dennis Smith, financial advisor Bloomington IN
93 score

Dennis Smith

CRD Number: 1349155
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Dennis Smith (CRD# 1349155) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Bloomington, IN and has over 31 years of experience in the finance industry.

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Company Name Location Dates Years
Bank Of America, Na Indianapolis, IN Dec 2009 - Current 7
Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691 Indianapolis, IN Feb 2006 - Current 10
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Apr 1985
S65 NASAA Investment Advisors Law Examination Dec 1999
Contact Info for Dennis D. Smith
Phone Number: 800-637-7455
Registered State(s):
  • IN
  • TX
By the Numbers
  • Total Assets Under Management
    575,342
    MILLIONS
  • Total Number of Accounts
    1,715,259
    ACCOUNTS
  • Average Account Value
    $335,425
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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