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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_RES | 2022-10-06 |
| IL | RA | APPROVED | 2022-08-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jp Morgan Chase Bank, N.A. | Chicago | IL | 04/2007 | 04/2019 |
| J.P. Morgan Securities Llc | Glenview | IL | 10/2018 | 04/2019 |
| Citigroup Global Markets Inc | Evanston | IL | 04/2019 | 07/2022 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Highland Park | IL | 07/2022 | Present |
| Bank Of America, N.A. | Highland Park | IL | 08/2022 | Present |
I*: 2077272Entity Type: Entity CharitableName of OBA: Chicago Literary Hall of FameAddress: Chicago, IL 60613Investment Related: NoPosition, Title, Association: Board Member,Other Employee Start Date: 12/01/2024Number of Hours: 20 hrs annually Number of Hours during trading: 0Duties: Help with fundraising and other charity activities Promote and recognize Chicago's literary talent I*2329259, Entity Type Not for Profit, Name of OBA: R.E.A.C.H Food Pantry Address: Lisle, IL 60532 Investment Related: No Position, Title, Association: Associate board member Employee Start Date:04/08/2025 No Hours: 3-5 monthly No Hours during trading: 0 Duties: Hunger relief in the community. Responsible with ideas for fund raising and organizing events.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-06-08 |
| S63 | Uniform Securities Agent State Law Examination | 2019-01-24 |
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