Michael Rossi

Financial advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated

Last updated 2026-10-10

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Michael Rossi is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, CRD 5093346. Licenses and exams on the registration: Series 66. IAPD registration began 2007-06-15.

Registration

CRD number
5093346
Registration status
Active
IAPD registration
2007-06-15
Industry Experience
19 years
Work Experience
20 years
States registered
FL, IL, TX

Licenses and exams

  • Series 66

Work history

  • 2006-01 to Present · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Rolling Meadows, IL

Current employment

SEC IAPD record for Michael Rossi

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Regulatory AUM
$1,781,568,171,479
Registered advisors
25,565
Offices
5,327
Clients per advisor
71.9 (Moderate)
Average AUM per client
$968.8K (Low)
High-net-worth client ratio
28.4% (Moderate)

Merrill Lynch, Pierce, Fenner & Smith Incorporated: advisors, services and reported ETF investments

About

Michael Rossi is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated. Reported securities licenses include Series 66. The latest record indicates 19 years of industry experience and 20 years of reported work history.

Merrill Lynch, Pierce, Fenner & Smith Incorporated's firm-level Form ADV reports 25,565 advisors across 5,327 offices; approximately 71.9 clients per advisor, average assets per client of $968,779, and regulatory AUM of $1.8T; client categories including Individuals (non-HNW), High net worth individuals, Pension and profit-sharing plans, Charitable organizations, Insurance companies, Corporations or other businesses; services including Portfolio Management: Individuals and Small Businesses, Portfolio Management: Businesses or Institutional Clients, Pension Consulting Services, Selection of Other Advisers, Educational Seminars or Workshops.

What this firm offers

Filed by Merrill Lynch, Pierce, Fenner & Smith Incorporated on Form ADV.

Client services

  • Individuals and Small Businesses
  • Businesses or Institutional Clients
  • Pension Consulting Services
  • Selection of Other Advisers
  • Educational Seminars or Workshops
  • Other Advisory Service

Fee options

  • Percentage of Assets Under Management
  • Fixed Fees (Other Than Subscription)
  • Commissions

Business and affiliations

  • Broker-Dealer (Registered or Unregistered)
  • Insurance Broker or Agent
  • Sells Non-Advisory Products or Services
  • Broker-Dealer or Municipal Securities Dea
  • Other Investment Adviser (Incl. Financial
  • Registered Security-Based Swap Dealer
  • Futures Commission Merchant
  • Banking or Thrift Institution
  • Trust Company
  • Insurance Company or Agency
  • Pension Consultant
  • Real Estate Broker or Dealer

Contact

The firm's filed contact details.

Official record

View the official SEC IAPD record

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