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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 |
|---|---|---|---|
| TX | RA | APPROVED | 1990-07-02 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Houston | TX | 04/1990 | Present |
| Bank Of America, N.A. | Houston | TX | 05/2021 | Present |
I*73322FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: SPORT DIVER'S OF HOUSTONINVESTMENT RELATED: NADDRESS OF BUSINESS: WEBSTER, TEXAS 77598NATURE OF BUSINESS: CORPORATION,POSITION, TITLE, ASSOCIATION: PART-TIME, START DATE OF RELATIONSHIP: 7/18/2014NUMBER OF HOURS DEVOTED: 28 HOUR(S) MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: ASSISTANT TEACH DIVE CLASSES AND POSSIBLY CONDUCT CLASSES WHICH ARE ALLOWED AS AN ASSISTANT INSTRUCTORI*77466FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: WHIMSICAL GLASSINVESTMENT RELATED: NADDRESS OF BUSINESS:HOUSTON, TEXAS 77005NATURE OF BUSINESS: SOLE PROPRIETORSHIP,POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 12/15/2014NUMBER OF HOURS DEVOTED: 48 HOUR(S) MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: PRODUCING STAIN GLASS PRODUCTS FOR RETAIL SALEI*2038269, Entity Type Fiduciary, Name of OBA: DL Address: Panarama Village, Texas, 77304 Investment Related: Yes Position, Title, Association: Executor Employee Start Date: 08-Oct-2024 No Hours: 0 No Hours during trading: 0 Duties:I*2038268, Entity Type Fiduciary, Name of OBA: BL Address: Panarama Village, Texas, 77304 Investment Related: Yes Position, Title, Association: Executor Employee Start Date: 08-Oct-2024 No Hours: 0 No Hours during trading: 0Duties:I*2029267, Entity Type Fiduciary, Name of OBA: RS Address: Houston, Texas, 77005 Investment Related: No Position, Title, Association: Executor Employee Start Date: 07-Oct-2024 No Hours: 0 No Hours during trading: 0 Duties: I*4791270 Entity Type: N/A Name of OBA: C E L Address: Port Huron, Michigan, 48060 Investment Related: No Position, Title, Association: Executor Employee Start Date: 07/02/2026 Number of Hours: 0, Yearly Number of Hours during trading: 0, Yearly Duties: Siblings
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-06-08 |
| S63 | Uniform Securities Agent State Law Examination | 1989-12-04 |
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