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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
TX RA APPROVED_RES 2013-02-26
OH RA APPROVED 2007-01-26
  • TX RA
    APPROVED_RES
    Since 2013-02-26
  • OH RA
    APPROVED
    Since 2007-01-26

Branch Locations

Poland, OH • United States

4137 Boardman Canfield Rd, Canfield, OH 44406 • 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 : 7691 Columbus OH 08/2004 Present
Merrill Lynch Dublin OH 08/2001 Present
Bank Of America Na Columbus OH 06/2011 Present
  • 08/2004 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691
    Columbus, OH
  • 08/2001 → Present
    Merrill Lynch
    Dublin, OH
  • 06/2011 → Present
    Bank Of America Na
    Columbus, OH
Other Businesses

I*1366257, Entity Type: , Name of OBA: A and M A M, Address: Poland, Ohio, 44514, Investment Related: N, Position, Title, Association: Executor//Power of Attorney, Employee Start Date: 03/29/2023, No Hours: 2 Yearly, No Hours during Trading: 0 Yearly, Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-01-25
  • S66 Uniform Combined State Law Examination
    2007-01-25
Other Names
  • Gina Morell

View on SEC IAPD

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