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Chief Financial Officer · Merrill Lynch, Pierce, Fenner & Smith Incorporated

Sara Rathbone Mooney

CRD 7616382 · Named on Form ADV at 2 SEC-registered advisers

At a glance

Merrill Lynch, Pierce, Fenner & Smith Incorporated, an SEC-registered broker-dealer firm based in New York, NY with $1.8 trillion in regulatory assets, lists Sara Rathbone Mooney on its Form ADV as Chief Financial Officer. The SEC filings also name Sara at 1 other registered adviser.

Firms and roles

AtlasMembers

Sara’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at each firm
2 firmsLocked
Control-person status
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When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings (14)

  • Lindsay Denardo HansState Designated Principal & Director, Merrill Lynch, Pierce, Fenner & Smith Incorporated
  • David Carleton Jr HeatonChief Legal Officer, Merrill Lynch, Pierce, Fenner & Smith Incorporated
  • Eric A SchimpfDirector & Chief Executive Officer, State Designated Principal, Merrill Lynch, Pierce, Fenner & Smith Incorporated
  • Nancy Monir FahmyDirector, Merrill Lynch, Pierce, Fenner & Smith Incorporated
  • Susan F AxelrodChief Compliance Officer, Merrill Lynch, Pierce, Fenner & Smith Incorporated

9 more people named with Sara on the same filings, with titles and firms. Free in Atlas with a free account.

See all 14 free

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Sara’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.