Maricel R Betz

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2015 → 03/2017
  Country Financial
  Joliet, IL
• 05/2017 → 02/2018
  Country Financial
  Ofallon, MO
• 02/2018 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Chicago, IL
• 02/2018 → Present
  Bank Of America, N.A.
  Chicago, IL
• 03/2017 → 05/2017
  Farmers Insurance
  Weldon Spring, MO

Previous Registrations

• 2008-01-03 → 2008-09-25
  Td Ameritrade, Inc.
  Oak Brook, IL
  Austin, TX
• 2008-01-03 → 2008-09-25
  Td Ameritrade Investment Management, Llc
  Oak Brook, IL
  Austin, TX
• 2002-11-20 → 2004-01-26
  Invest Financial Corporation
  Wheaton, IL
• 2001-12-06 → 2002-09-19
  Ameriprise Financial Services, Llc
  Lombard, IL

Exams

• S66 Uniform Combined State Law Examination
  2020-01-06
• S65 Uniform Investment Adviser Law Examination
  2001-12-03
• S63 Uniform Securities Agent State Law Examination
  1999-05-11

Other Names

• Maricel Javate Romero
• Maricel Betz
• Maricel J Romero
• Maricel Romero Betz
• Maricel Romero