Susan C Sloan
Investment adviser representative at Merrill Lynch, Pierce, Fenner & Smith Incorporated
15 yearsExperience
1 stateRegistered 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
15 years in the industry.
- Bank of America, N.A.Jun 2026 to now
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedMay 2026 to now
- Cetera Investment Advisers LLCOct 2025 to May 2026
- Cetera Investment Services LLCOct 2025 to May 2026
- Regions BankOct 2025 to May 2026
- Thrivent FinancialOct 2023 to Sep 2025
- Thrivent Investment Management IncOct 2023 to Sep 2025
- RegionsbankMar 2011 to Oct 2023
Exams passed
- Series 66 · Uniform Combined State Law2024
State registrations
Registered as an investment adviser representative in 1 state (AL).
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
- 7805057
- Firm CRD
- 7691