Ellen R Shain
Investment adviser representative at Merrill Lynch, Pierce, Fenner & Smith Incorporated
22 yearsExperience
2 statesRegistered in
$1.8TFirm assets
47 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsFixed or flat feeCommissions
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
22 years in the industry.
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedOct 2009 to now
- Bank of America, N.A.Oct 2004 to now
Exams passed
- Series 63 · Uniform Securities Agent State Law2002
- Series 66 · Uniform Combined State Law2005
State registrations
Registered as an investment adviser representative in 2 states (CT, TX).
Merrill Lynch, Pierce, Fenner & Smith Incorporated
$1.8TAssets managed
1,838,984Clients
25,558Advisers
47 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 4345071
- Firm CRD
- 7691