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Financial ADVSR advisor directory · SEC adviser records

Financial advisors in Southampton, NY

Every SEC-registered investment adviser representative at a firm office in Southampton, with the firms that employ the most of them.

51 registered advisors work in Southampton; the most are at Merrill Lynch, Pierce, Fenner & Smith Incorporated (14). 4 list the CFP designation and 46 are also registered broker representatives.

Firms with the most advisors in Southampton

FirmAdvisors in Southampton
Merrill Lynch, Pierce, Fenner & Smith Incorporated news14
UBS Financial Services Inc. news11
Ameriprise Financial Services, LLC news8
Wells Fargo Clearing Services, LLC news4
Charles Schwab & Co., Inc. news3
J.P. Morgan Securities LLC news3
Guardant Wealth Advisors2
LPL Financial LLC news2
Integrated Wealth Concepts LLC1
Palm Capital Group LLC1
Quo Vadis Capital, Inc.1
Stifel, Nicolaus & Company, Incorporated news1

Advisors in Southampton, A to Z

CFP advisors in Southampton →

Other cities in New York

All of New York →

New York 15,109Melville 1,194Rochester 906Garden City 754Purchase 718Brooklyn 572Williamsville 461Syracuse 406Albany 390Buffalo 347Pittsford 341Hauppauge 322White Plains 300Cohoes 264Saratoga Springs 242Jericho 237Staten Island 234Latham 228Woodbury 223Amherst 217New York City 195Tarrytown 150Poughkeepsie 128Great Neck 124

Questions

How many financial advisors are in Southampton, NY?

51 investment adviser representatives are registered at firm offices in Southampton, New York, according to the SEC's Investment Adviser Public Disclosure records. 46 of them are also registered as broker representatives, and 4 list the CFP designation.

Which firm has the most financial advisors in Southampton?

Merrill Lynch, Pierce, Fenner & Smith Incorporated, with 14 registered advisors in Southampton, followed by UBS Financial Services Inc. with 11.

How do I check a financial advisor in Southampton?

Each advisor below links to a profile with their firm, registrations, exams and how long they've been registered, plus links to the SEC's adviser search and FINRA BrokerCheck, where any disclosures are listed in full.

Source: the SEC's Investment Adviser Public Disclosure daily file. Advisors are listed at the city of the firm office they're registered at; an advisor registered at offices in more than one city appears in each. Broker-only representatives (FINRA BrokerCheck) aren't included. Moving firms? See who's moving this week, compare payouts by firm or value a recruiting offer.