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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 | 2014-04-10 |
| CA | RA | APPROVED | 2014-04-09 |
Branch Locations
2049 Century Park E Pbig - Century City, Los Angeles, CA 90067 • United States
6006 El Tordo Pwm, Rancho Santa Fe, CA 92067 • United States
7825 Fay Ave Pbig - La Jolla, La Jolla, CA 92037 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Los Angeles | CA | 04/2014 | Present |
| Bank Of America, N.A. | Los Angeles | CA | 02/2015 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-11-07 |
| S63 | Uniform Securities Agent State Law Examination | 1997-04-02 |
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