Nicholas Adam Warner
Investment adviser representative at Merrill Lynch, Pierce, Fenner & Smith Incorporated
10 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
10 years in the industry.
- Bank of America, N.A.Dec 2020 to now
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 2020 to now
- Dew SPA Ii LLCApr 2020 to Jun 2020
- Dew SPA Iii, LLCApr 2020 to Jun 2020
- Dew Spa, L.L.CApr 2020 to Jun 2020
- JPMorgan Chase Bank N.A.Dec 2018 to Sep 2020
- JPMorgan Securities LLCDec 2018 to Sep 2020
- Tropical Pool Services and RenovationsJun 2016 to Nov 2018
Exams passed
- Series 66 · Uniform Combined State Law2020
State registrations
Registered as an investment adviser representative in 2 states (LA, 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
- 7054007
- Firm CRD
- 7691