Richard Abbott, financial advisor Tallahassee FL

Richard Abbott

CRD Number: 2105079
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Richard Abbott (CRD# 2105079) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Tallahassee, FL and has over 25 years of experience in the finance industry.

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Company Name Location Dates Years
Bank Of America, Na Tallahassee, FL Dec 2009 - Current 9
Merrill Lynch, Pierce, Fenner & Smith Incorporated Tallahassee, FL Oct 2009 - Current 9
Banc Of America Investment Services, Inc. Tallahassee, FL Apr 1998 - Oct 2009 11
Banc Of America Insurance Services, Inc. Tallahassee, FL Apr 1998 - Oct 2009 11
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Feb 1994
S65 NASAA Investment Advisors Law Examination May 2003
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 Richard J. Abbott
Phone Number: 800-637-7455
Registered State(s):
  • FL
  • TX
By the Numbers
  • Total Assets Under Management
    797,284
    MILLIONS
  • Total Number of Accounts
    2,472,247
    ACCOUNTS
  • Average Account Value
    $322,494
Compensation Options
  • A percentage of assets under your management
  • 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, WY

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