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Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars
  • PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2010-06-22
NJ RA APPROVED 2005-07-13
TX RA APPROVED_RES 2004-07-27
  • PA RA
    APPROVED
    Since 2010-06-22
  • NJ RA
    APPROVED
    Since 2005-07-13
  • TX RA
    APPROVED_RES
    Since 2004-07-27

Branch Locations

600 Hamilton St, Allentown, PA 18101 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Allentown PA 02/1980 Present
Other Businesses

I*: 2261273 For profit or not for profit: For-Profit Organization Name of outside business organization: J. H. dba jcklettererdesigns Investment related: No Address of business: Bath, Pennsylvania, 18014 Nature of business: Sole Proprietorship Position, title, association: Owner Start date of relationship: 03/26/2025 Number of hours devoted: 5 hours Wkly Number of hours devoted during trading hours: 0 Duties: to sell products on Etsy

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-06-30
S63 Uniform Securities Agent State Law Examination 1989-05-02
  • S66 Uniform Combined State Law Examination
    2005-06-30
  • S63 Uniform Securities Agent State Law Examination
    1989-05-02
Other Names
  • Jill Lynette Schmoyer

View on SEC IAPD

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