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Amy Schwenzfeier Roberts

Merrill Lynch, Pierce, Fenner & Smith Inc.

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About Amy Schwenzfeier Roberts

Amy Roberts is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., and has been in the industry since 1998. Amy Roberts holds Series 7, 24, 63 and 66 licenses and is registered in Massachusetts and Rhode Island. Previously, Amy Roberts was affiliated with Columbia Management Investment Distributors, Inc., Columbia Management Distributors, Inc., Banc of America Securities LLC, Fleet Securities, Inc., FleetBoston Robertson Stephens Inc., and CitiCorp Securities Markets, Inc. Amy Roberts specializes in investments, retirement, education, and insurance.

Firm Information

Amy Roberts is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc.. Merrill Lynch, Pierce, Fenner & Smith Inc., established in 1958, is a corporation headquartered in NEW YORK, NY. They offer a wide range of financial services, including portfolio management for individuals and businesses, pension consulting, and educational seminars. They are registered with the SEC and in all 50 states, with over 26,000 investment advisor representatives and registered representatives. Their services target high-net-worth individuals, corporations, pension and profit sharing plans, charitable organizations, and insurance companies. They manage assets exceeding $1 trillion, demonstrating their extensive experience in the financial industry.
Merrill Lynch, Pierce, Fenner & Smith Inc.

1 FINANCIAL PLZ

PROVIDENCE, RI 02903

$1.27T

Assets Under Management

16,965

Total Clients

25,158

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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performance measurement reports, allocation modeling, ips, research reports and services, see schedule d

Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Amy Roberts’s Registration & Firm History

RI

05/30/2018 - Present

Merrill Lynch, Pierce, Fenner & Smith Inc. (PROVIDENCE RI)

MA

05/01/2010 - 05/16/2017

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC. (BOSTON MA)

MA

11/29/2005 - 05/01/2010

COLUMBIA MANAGEMENT DISTRIBUTORS, INC. (BOSTON MA)

NY

04/01/2004 - 08/18/2005

BANC OF AMERICA SECURITIES LLC (NEW YORK NY)

TX

07/25/2002 - 04/01/2004

FLEET SECURITIES, INC. (DALLAS TX)

TX

09/05/2000 - 04/19/2001

FLEET SECURITIES, INC. (DALLAS TX)

CA

02/13/1997 - 09/05/2000

FLEETBOSTON ROBERTSON STEPHENS INC. (SAN FRANCISCO CA)

NY

09/30/1991 - 08/13/1992

CITICORP SECURITIES MARKETS, INC. (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 9/29/2009

Series 66 - Uniform Combined State Law Examination

BC

Issued 1/30/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/2/2002

Series 24 - General Securities Principal Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 8/1/1996

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Amy Schwenzfeier Roberts.
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