R Runia, financial advisor Provo UT
83 score

R Runia

CRD Number: 1092941
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

R Runia (CRD# 1092941) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Provo, UT and has over 33 years of experience in the finance industry.

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Company Name Location Dates Years
Bank Of America, Na Provo, UT Sep 2009 - Current 7
Merrill Lynch, Pierce, Fenner & Smith Incorporated Provo, UT Oct 1982 - Current 34
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jan 1983
S65 NASAA Investment Advisors Law Examination Sep 1994
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:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for R S. Runia
Phone Number: 800-637-7455
Registered State(s):
  • TX
  • UT
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
83

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