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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2021-04-19 |
| TX | RA | APPROVED_RES | 2009-06-19 |
| CT | RA | APPROVED | 2008-09-02 |
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 | New York | NY | 07/2008 | Present |
I*137361 For profit or not for profit: For-Profit Organization Name of outside business organization: uber technologies, inc. Investment related: N Address of business: san francisco, California 94103 Nature of business: Corporation, Position, title, association: Part-Time, Start date of relationship: 1/14/2021 Number of hours devoted: 400 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: food delivery
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-05-19 |
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