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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
NY RA APPROVED 2021-04-06
TX RA APPROVED_RES 2004-10-08
NJ RA APPROVED 2004-04-16
  • NY RA
    APPROVED
    Since 2021-04-06
  • TX RA
    APPROVED_RES
    Since 2004-10-08
  • NJ RA
    APPROVED
    Since 2004-04-16

Branch Locations

225 Liberty St, New York, NY 10281 • United States

900 South Ave, Staten Island, NY 10314 • 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 New York NY 07/2000 Present
Bank Of America, N.A. New York NY 12/2009 Present
Other Businesses

I*10818 For profit or not for profit: Name of outside business organization: H 7 Investment related: Address of business: Jamshedpur, 831005 Nature of business: , Position, title, association: , Start date of relationship: 12/1/2020 Number of hours devoted: 5 hour(s) Number of hours devoted during trading hours: 0 I*1875291 Entity Type, Name of OBA: Rental Property 8 Address:Chira Chas. Jharkhand,827013 Investment Related: N Position, Title, Association:Co-owner with other family members Employee Start Date: 11/30/2024 No Hours: 10 YEARLY No Hours during trading:0 Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-10-25
  • S66 Uniform Combined State Law Examination
    2000-10-25

View on SEC IAPD

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