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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 | 2013-01-11 |
| NC | RA | APPROVED | 2011-10-06 |
Branch Locations
620 S Tryon St Gwim Chief Investment Office (Cio), Charlotte, NC 28255 • United States
One Bryant Park Gwim Chief Investment Office (Cio), New York, NY 10036 • United States
Charlotte, NC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Charlotte | NC | 10/2009 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-09-30 |
| S63 | Uniform Securities Agent State Law Examination | 1996-09-03 |
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