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Joseph R Liles

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Charlotte, NC

Ponte Vedra Beach, FL

CRD 1984261

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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 2015-07-30
NC RA APPROVED 2008-01-24
NJ RA APPROVED 2005-01-13
  • TX RA
    APPROVED_RES
    Since 2015-07-30
  • NC RA
    APPROVED
    Since 2008-01-24
  • NJ RA
    APPROVED
    Since 2005-01-13

Branch Locations

6000 Fairview Rd, Charlotte, NC 28210 • United States

824 A1A N, Ponte Vedra Beach, FL 32082 • 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 Charlotte NC 08/1986 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-01-12
  • S66 Uniform Combined State Law Examination
    2005-01-12
Other Names
  • Joe Liles
  • Joseph Robert Iii Liles
  • Joseph Robert Liles

View on SEC IAPD

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