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Michael Ross Sturm

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York, NY

Jacksonville, FL

Jacksonville, FL

CRD 5405536

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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
FL RA APPROVED 2016-11-08
CA RA APPROVED 2013-10-17
TX RA APPROVED_RES 2013-01-14
  • FL RA
    APPROVED
    Since 2016-11-08
  • CA RA
    APPROVED
    Since 2013-10-17
  • TX RA
    APPROVED_RES
    Since 2013-01-14

Branch Locations

One Bryant Park Investment Solutions Group, New York, NY 10036 • United States

Jacksonville, FL • United States

9000 Southside Blvd Investment Solutions Group, Jacksonville, FL 32256 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Jacksonville FL 09/2007 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-02-06
  • S66 Uniform Combined State Law Examination
    2008-02-06
Other Names
  • Mike Ross Sturm

View on SEC IAPD

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