Caitlin Derose
Investment adviser representative at Merrill Lynch, Pierce, Fenner & Smith Incorporated
11 yearsExperience
3 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
11 years in the industry.
- Bank of America, N.A.Jan 2021 to now
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedDec 2020 to now
- Merrill Lynch, Pierce, Fenner & Smith Incorporated (crd: 7691)Nov 2020 to now
- Northtown Automotive CompaniesApr 2019 to Oct 2020
- HSBC Secuities (USA) Inc.May 2018 to Mar 2019
- HSBC Bank USA, N.A.Oct 2017 to Mar 2019
- HSBC Securities (USA) IncOct 2017 to May 2018
- M&t BankMar 2017 to Jun 2017
- M&t SecuritiesMar 2017 to Jun 2017
- Kaplan UniversitySep 2016 to Mar 2019
- Lehman Brothers Inc James W GiddensJan 2016 to Aug 2020
- Morgan Stanley Smith Barney LLCDec 2015 to Mar 2017
Exams passed
- Series 66 · Uniform Combined State Law2012
State registrations
Registered as an investment adviser representative in 3 states (CT, NY, 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
- 6034660
- Firm CRD
- 7691