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Louis Shamel Frye

Merrill Lynch, Pierce, Fenner & Smith Inc.

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About Louis Shamel Frye

Louis Frye is a registered representative of Merrill Lynch, Pierce, Fenner & Smith Inc. Louis Frye is licensed to provide investment advice in New York and Texas. Louis Frye has worked in the financial services industry since 2005. Louis Frye's experience includes previous roles at Citigroup Global Markets Inc., HSBC Securities (USA) Inc., Wachovia Securities, LLC, Ameriprise Financial Services, Inc., and IDS Life Insurance Company. Louis Frye holds Series 7, Series 66 and SIE securities licenses.

Firm Information

Louis Frye 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.

ONE BRYANT PARK

NEW YORK, NY 10036

$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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Louis Frye’s Registration & Firm History

NY

02/28/2023 - Present

Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)

NY

03/02/2012 - 04/23/2013

CITIGROUP GLOBAL MARKETS INC. (FREEPORT NY)

NY

10/01/2008 - 01/11/2011

HSBC SECURITIES (USA) INC. (NEW YORK NY)

NY

03/28/2007 - 05/17/2007

WACHOVIA SECURITIES, LLC (HARTSDALE NY)

MN

01/01/2005 - 03/16/2006

AMERIPRISE FINANCIAL SERVICES, INC. (MINNEAPOLIS MN)

MN

01/01/2005 - 03/16/2006

IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)

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Licenses & Designations

BOTH

Issued 02/13/2023

Series 66 - Uniform Combined State Law Examination

BC

Issued 01/17/2023

Series 7TO - General Securities Representative Examination

BC

Issued 12/08/2022

SIE - Securities Industry Essentials Examination

BC

Issued 12/23/2004

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 Louis Shamel Frye.
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