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Syed Abdul Rumin

Merrill Lynch, Pierce, Fenner & Smith Inc.

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About Syed Abdul Rumin

Syed Abdul Rumin is a registered investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Syed has over 17 years of experience in the financial services industry. Syed is registered with the state of Maryland and holds Series 6, 7, 63 and 65 licenses. Syed also holds the SIE designation. Syed is a board member of Parkside Condominiums in Bethesda, Maryland. Previous employers include LOMBARD SECURITIES INCORPORATED, CETERA ADVISORS LLC, MML INVESTORS SERVICES, LLC, H. BECK, INC., METLIFE SECURITIES INC., and METROPOLITAN LIFE INSURANCE COMPANY.

Firm Information

Syed Rumin 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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Syed Rumin’s Registration & Firm History

MD

10/30/2023 - Present

Merrill Lynch, Pierce, Fenner & Smith Inc. (NORTH BETHESDA MD)

MD

03/07/2016 - 10/04/2023

LOMBARD SECURITIES INCORPORATED (BALTIMORE MD)

MD

06/13/2014 - 02/10/2016

CETERA ADVISORS LLC (BETHESDA MD)

MD

11/06/2013 - 03/13/2014

MML INVESTORS SERVICES, LLC (ROCKVILLE MD)

MD

01/11/2010 - 10/03/2013

H. BECK, INC. (BETHESDA MD)

MD

05/15/2006 - 01/06/2010

METLIFE SECURITIES INC. (ROCKVILLE MD)

MD

04/07/2006 - 07/09/2007

METROPOLITAN LIFE INSURANCE COMPANY (ROCKVILLE MD)

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Licenses & Designations

IA

Issued 01/09/2021

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 07/26/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/15/2018

Series 7 - General Securities Representative Examination

BC

Issued 04/06/2006

Series 6 - Investment Company Products/Variable Contracts 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 Syed Abdul Rumin. Review regulatory record here.
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