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Michael Edward Allaway

Merrill Lynch, Pierce, Fenner & Smith Inc.

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About Michael Edward Allaway

Michael Edward Allaway is a financial advisor with over 30 years of experience in the financial services industry. Michael has held positions with several prominent firms, including Morgan Stanley, UBS Financial Services Inc., and Neuberger Berman, LLC. Michael is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and is a registered representative and investment advisor.

Firm Information

Michael Allaway 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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Michael Allaway’s Registration & Firm History

IL

04/11/2017 - Present

Merrill Lynch, Pierce, Fenner & Smith Inc. (OAK BROOK IL)

IL

08/28/2009 - 04/10/2017

MORGAN STANLEY (CHICAGO IL)

IL

05/23/2003 - 09/01/2009

UBS FINANCIAL SERVICES INC. (CHICAGO IL)

NY

09/04/1999 - 06/16/2003

NEUBERGER BERMAN, LLC (NEW YORK NY)

NY

02/20/1998 - 09/27/1999

SANFORD C. BERNSTEIN & CO., INC. (NEW YORK NY)

ME

06/02/1997 - 04/08/1998

FIRST DATA DISTRIBUTORS, INC. (PORTLAND ME)

PA

02/04/1996 - 06/04/1997

FPS BROKER SERVICES, INC. (KING OF PRUSSIA PA)

WI

04/29/1993 - 09/20/1995

NORTHWESTERN MUTUAL INVESTMENT SERVICES, INC. (MILWAUKEE WI)

WI

04/29/1993 - 09/20/1995

ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)

NY

12/17/1991 - 12/21/1992

OPPENHEIMER & CO., INC. (NEW YORK NY)

NY

08/09/1991 - 11/11/1991

THOMAS JAMES ASSOCIATES, INC. (ROCHESTER NY)

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Licenses & Designations

IA

Issued 04/25/1998

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 08/17/1991

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/28/1998

Series 31 - Futures Managed Funds Examination

BC

Issued 08/08/1991

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 Michael Edward Allaway. Review regulatory record here.
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