Merrill Lynch, Pierce, Fenner & Smith
42yrs
Top 3% by experience in Alabama
47yrs
Walter Howard Duke Jr
Financial advisor at Merrill Lynch, Pierce, Fenner & Smith
At a glance
Experience47 years (since 1980)
How that compares ?Top advisor by experience in Gadsden
Office224 Broad St, Gadsden, AL 35901
How the firm is paid ?Percent of assets, Flat fee, Commissions
States licensed ?2 states
Services through Merrill Lynch, Pierce, Fenner & Smith
Investment management for individuals and small businessesInvestment management for businesses and institutionsRetirement plan consultingChoosing other investment managersEducational seminars and workshopsOther services
Specialties, designations like CFP®, and languages spoken appear here when advisors claim their profiles.
Licenses
Exams passed, from the official record. Tap a license to see what it allows.
Uniform Securities Agent State Law Examination
Uniform Investment Adviser Law Examination
Career
- 1991 – nowMerrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent firm
Questions to ask Walter
Tailored to Walter’s registration and firm.
- What's your succession plan, and who would work with me if you retire?
- At a firm this size, will I work with you directly or with a service team?
- If you use outside managers, how are they chosen and what do they cost on top of your fee?
- Where would my money be held, and will I get statements directly from that firm?
- What would I pay in total each year, in dollars, including fund and trading costs?
My notes and scorecard
Sign in to keep private notes, score your first meeting, and track this advisor alongside others.
About Walter
How do I contact Walter?
Call Merrill Lynch, Pierce, Fenner & Smith at 800-637-7455 and ask for Walter Howard Duke Jr. Walter works from the Gadsden, AL office.
How long has Walter been a financial advisor?
Walter has been in the industry since 1980, about 47 years. Top advisor by experience in Gadsden.
What licenses does Walter hold?
Series 63, Series 65. Tap any license on this page to see what it allows.
Is Walter a fiduciary?
Walter is registered as an investment advisor representative, which carries a fiduciary duty when giving investment advice.
How is Walter paid?
Merrill Lynch, Pierce, Fenner & Smith reports being paid by a percentage of the assets they manage, flat or fixed fees, commissions on some products. Ask Walter for your total yearly cost in dollars.
Official record as of October 2, 2026.
This profile is for information only and is not financial advice or a recommendation.
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