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Carmine Pezzella

Merrill Lynch, Pierce, Fenner & Smith Inc.

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About Carmine Pezzella

Carmine Pezzella is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Carmine has been in the securities industry since March 9, 1996. He has a total of 53 state securities licenses and 5 state investment advisor licenses. Carmine holds the following securities licenses: Series 7, Series 9, Series 10, Series 24, Series 63, and Series 65. Carmine previously worked at Morgan Stanley, Boenning & Scattergood, Inc., Hightower Securities, LLC, UBS Financial Services Inc., Dean Witter Reynolds Inc., PaineWebber Incorporated, and Kidder, Peabody & Co. Incorporated. Carmine is a member of the Financial Industry Regulatory Authority (FINRA).

Firm Information

Carmine Pezzella 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.

724 W LANCASTER AVE

WAYNE, PA 19087

$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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Carmine Pezzella’s Registration & Firm History

PA

09/22/2015 - Present

Merrill Lynch, Pierce, Fenner & Smith Inc. (WAYNE PA)

NY

01/09/2013 - 03/23/2015

MORGAN STANLEY (NEW YORK NY)

PA

08/24/2010 - 02/27/2012

BOENNING & SCATTERGOOD, INC. (WEST CONSHOHOCKEN PA)

FL

10/29/2009 - 08/16/2010

HIGHTOWER SECURITIES, LLC (PALM BEACH GARDENS FL)

NY

09/16/1997 - 12/31/2008

UBS FINANCIAL SERVICES INC. (NEW YORK NY)

NY

04/25/1995 - 09/15/1997

DEAN WITTER REYNOLDS INC. (PURCHASE NY)

NJ

01/28/1995 - 05/11/1995

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

NY

12/12/1994 - 01/28/1995

KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)

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Licenses & Designations

IA

Issued 10/27/2015

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 12/22/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/5/2009

Series 24 - General Securities Principal Examination

BC

Issued 2/24/2000

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 2/24/2000

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/10/1994

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 is public disclosure for Carmine Pezzella. Review regulatory record here.
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