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Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691
$1.78T regulatory AUM 16,844 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2000-03-24 |
| TX | RA | APPROVED_RES | 2000-03-20 |
Branch Locations
1096 Coast Village Rd, Santa Barbara, CA 93108 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch | Indian Wells | CA | 03/2000 | Present |
| Bank Of America,N.A. | Santa Barbara | CA | 06/2011 | Present |
I*4680281 Entity Type: N/A Name of OBA: J R P TTEE U/A DTD 12/03/1998 BY E L P Address: Santa Barbara, California, 93108 Investment Related: No Position, Title, Association: Executor Employee Start Date: 05/26/2026 Number of Hours: 20, Yearly Number of Hours during trading: 1, Yearly Duties: Parents
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-03-25 |
| S63 | Uniform Securities Agent State Law Examination | 1988-03-22 |
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