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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2005-08-18 |
| TX | RA | APPROVED_RES | 2004-07-26 |
Branch Locations
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, Pierce, Fenner & Smith Incorporated | Miami | FL | 06/1988 | Present |
| Bank Of America, N.A. | Miami | FL | 04/2017 | Present |
I*458660, Entity Type: Entity For Profit, Name of OBA: el compound homeowners association inc, Address: miami, Florida 33143, Investment Related: N, Position, Title, Association: Other, Employee Start Date: 05/27/2015, No Hours: 0, No Hours during trading: 0, Duties: LLC HOA that owns the private street where i live. There are four houses one owned by me another by my sister and brother in law and two other residents.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-09-12 |
| S63 | Uniform Securities Agent State Law Examination | 1988-10-17 |
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