linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Rial Allen Barnett

Merrill Lynch, Pierce, Fenner & Smith Inc.

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Rial? Claim Your Profile

About Rial Allen Barnett

Rial Barnett is a financial advisor currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Barnett has been in the financial services industry since 1989. Barnett has passed the Series 4, Series 7, Series 24, Series 31, Series 63, and Series 65 exams and holds registrations in 53 states and jurisdictions. Previously, Barnett worked at Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., J.P. Morgan Securities Inc., Hambrecht & Quist LLC, and Cruttenden Roth Incorporated. Barnett's specializations include Portfolio Management for Individuals, Portfolio Management for Businesses, and Selection of Other Advisers.

Firm Information

Rial Barnett 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.

check

pension consulting services

Guidance on pension options to ensure a secure financial future.

check

educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

check

selection of other advisors

Helps you choose top advisors aligned with your financial goals.

check

portfolio management for businesses

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

check

portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

check

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.

check

fixed fees

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

check

commissions

Earned based on transactions or products sold.

check

percentage of assets

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

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Rial Barnett’s Registration & Firm History

CA

06/19/2009 - Present

Merrill Lynch, Pierce, Fenner & Smith Inc. (NEWPORT BEACH CA)

CA

04/02/2007 - 12/09/2008

MORGAN STANLEY & CO. INCORPORATED (NEWPORT BEACH CA)

CA

12/12/2002 - 04/02/2007

MORGAN STANLEY DW INC. (NEWPORT BEACH CA)

NY

02/01/2000 - 11/07/2002

J.P. MORGAN SECURITIES INC. (NEW YORK NY)

CA

08/20/1997 - 02/01/2000

HAMBRECHT & QUIST LLC (SAN FRANCISCO CA)

CA

08/09/1994 - 08/19/1997

CRUTTENDEN ROTH INCORPORATED (NEWPORT BEACH CA)

IA

07/15/1992 - 08/01/1994

DICKINSON & CO. (DES MOINES IA)

NA

12/20/1988 - 07/27/1992

J. W. GANT & ASSOCIATES, INC.

Not sure if Rial Allen Barnett is right for you?

Licenses & Designations

IA

Issued 01/26/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 12/29/1988

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/02/1994

Series 4 - Registered Options Principal Examination

BC

Issued 05/11/1990

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/05/2004

Series 31 - Futures Managed Funds Examination

BC

Issued 12/17/1988

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 2 public disclosures for Rial Allen Barnett. Review regulatory record here.
Not sure if Rial Allen Barnett is right for you?