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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
IA RA APPROVED 2008-06-23
TX RA APPROVED 2008-06-23
  • IA RA
    APPROVED
    Since 2008-06-23
  • TX RA
    APPROVED
    Since 2008-06-23

Branch Locations

7545 Ashworth Rd, West Des Moines, IA 50266 • 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 Des Moines IA 06/2008 Present
Bank Of America, Na Des Moines IA 12/2009 Present
Previous Registrations
  • 2005-10-07 → 2008-06-25
    Securian Financial Services, Inc.
    West Des Moines, IA
    West Des Moines, IA
    Wes Des Moines, IA
  • 2004-12-16 → 2005-08-17
    Des Moines, IA
Other Businesses

I*495562 Entity Type: N/A Name of OBA: 620 Spyglass Address: Waukee, Iowa, 50263 Investment Related: No Position, Title, Association: Co-owner with other family members Employee Start Date: 03/01/2012 Number of Hours: 1, Yearly Number of Hours during trading: 0, Yearly Duties: N/A

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-12-15
S63 Uniform Securities Agent State Law Examination 2002-10-30
  • S65 Uniform Investment Adviser Law Examination
    2004-12-15
  • S63 Uniform Securities Agent State Law Examination
    2002-10-30
Other Names
  • Tony Louis Ranallo
  • Anthony Lewis Ranallo

View on SEC IAPD

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