Rick Sinderbrand, financial advisor Newbury Park CA
81 score

Rick Sinderbrand

CRD Number: 1972908
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Rick Sinderbrand (CRD# 1972908) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Newbury Park, CA and has over 11 years of experience in the finance industry.

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Company Name Location Dates Years
Merrill Lynch, Pierce, Fenner & Smith Incorporated Newbury Park, CA Oct 2014 - Current 2
Bank Of America, N.a. Newbury Park, CA Oct 2014 - Current 2
Wells Fargo Advisors LLC Westlake Village, CA May 2009 - Sep 2014 5
Wachovia Securities, LLC Los Angeles, CA Jul 2008 - May 2009 < 1
Ubs Financial Services Inc. Las Vegas, NV Aug 2004 - Jul 2008 3
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Jan 2005
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
Get Details on the FINRA Advisor Check site
Contact Info for Rick Sinderbrand
Phone Number: 800-637-7455
Registered State(s):
  • CA
  • 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
81

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