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Heather Sara Levine

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Melville, NY

Plainview, NY

CRD 5307938

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Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars
  • PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-08-19
NY RA APPROVED 2022-08-16
  • TX RA
    APPROVED_RES
    Since 2022-08-19
  • NY RA
    APPROVED
    Since 2022-08-16

Branch Locations

300 Broadhollow Rd, Melville, NY 11747 • United States

Plainview, NY • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc New York NY 06/2012 07/2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated Melville NY 07/2022 03/2023
Merrill Lynch, Pierce, Fenner & Smith Incorporated Smithtown NY 03/2023 Present
Previous Registrations
  • 2015-04-13 → 2022-08-04
    Ubs Financial Services Inc.
    New York, NY
    Stamford, CT
    New York, NY
  • 2009-06-01 → 2012-07-03
    Morgan Stanley
    New York, NY
  • 2008-03-13 → 2009-06-01
    Morgan Stanley & Co. Llc
    New York, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-08-07
  • S66 Uniform Combined State Law Examination
    2007-08-07
Other Names
  • Heather S Spellman
  • Heather Spellman
  • Heather Sara Spellman

View on SEC IAPD

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