Sukhman P Kaur
Investment adviser representative at Merrill Lynch, Pierce, Fenner & Smith Incorporated
12 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
12 years in the industry.
- Bank of America, N.A.Jan 2026 to now
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedNov 2025 to now
- City National BankSep 2024 to Nov 2025
- UnemployedMar 2024 to Sep 2024
- BMOSep 2023 to Mar 2024
- Bank of the WestMar 2019 to Sep 2023
- Wells Fargo Clearing Services, LLCNov 2016 to Feb 2019
- Wells Fargo Advisors LLCDec 2015 to Nov 2016
- Wells Fargo Bank, NAAug 2014 to Feb 2019
Exams passed
- Series 66 · Uniform Combined State Law2026
State registrations
Registered as an investment adviser representative in 2 states (CA, 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
- 5325271
- Firm CRD
- 7691