Best Investors Account Sign in

John Henry Giacobbe

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York, NY

Greenwood Village, CO

CRD 3198726

Claim This Profile
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
CO RA APPROVED 2009-03-09
  • CO RA
    APPROVED
    Since 2009-03-09

Branch Locations

One Bryant Park, New York, NY 10036 • UNITED STATES

6400 S Fiddlers Green Cir, Greenwood Village, CO 80111 • 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 Stamford CT 03/1991 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-11-12
S63 Uniform Securities Agent State Law Examination 1999-06-10
  • S66 Uniform Combined State Law Examination
    2007-11-12
  • S63 Uniform Securities Agent State Law Examination
    1999-06-10
Other Names
  • John H (Jr) Giacobbe

View on SEC IAPD

More in New York, NY

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor