Fernando A Rosa
Investment adviser representative at Merrill Lynch, Pierce, Fenner & Smith Incorporated
13 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
13 years in the industry.
- Bank of America, N.A.Sep 2021 to now
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedJun 2021 to now
- Citizens BankAug 2019 to Apr 2021
- Citizens Securities Inc.Aug 2019 to Apr 2021
- Western Connecticut State UniversityJan 2017 to Dec 2018
- People's United BankSep 2016 to Aug 2019
- Housatonic Community CollegeAug 2013 to Dec 2016
Exams passed
- Series 63 · Uniform Securities Agent State Law2019
- Series 66 · Uniform Combined State Law2021
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
- 7174848
- Firm CRD
- 7691