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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 2011-01-05
MO RA APPROVED 2009-07-16
  • TX RA
    APPROVED_RES
    Since 2011-01-05
  • MO RA
    APPROVED
    Since 2009-07-16

Branch Locations

1630 S Lindbergh Blvd, Frontenac, MO 63131 • 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 Clayton MO 06/2009 Present
Bank Of America, N.A. Clayton MO 05/2011 Present
Previous Registrations
Other Businesses

I*: 2086469Entity Type: Entity For ProfitName of OBA: KTV Coastal Ventures LLCAddress: St Louis, MO 63105Investment Related: NoPosition, Title, Association: General Partner/Managing MemberEmployee Start Date: 12/02/2024Number of Hours: 15 hrs wklyNumber of Hours during trading: 0 Duties: Real Estate investing for potential passive incomeI*3758275 Entity Type: Entity For Profit Name of OBA: Fox and Hound LLC Address: St Louis, Missouri, 63105 Investment Related: No Position, Title, Association: General Partner/Managing Member,Owner Employee Start Date: 03/02/2026 Number of Hours: 10, Weekly Number of Hours during trading: 0, Weekly Duties: To invest in Real Estate owner and possible mange for rental income

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-11-13
S63 Uniform Securities Agent State Law Examination 2009-10-22
S66 Uniform Combined State Law Examination 1998-06-04
  • S65 Uniform Investment Adviser Law Examination
    2025-11-13
  • S63 Uniform Securities Agent State Law Examination
    2009-10-22
  • S66 Uniform Combined State Law Examination
    1998-06-04
Other Names
  • Kerry B Tighe
  • Kerry Bridget Tighe
  • Kerry Bridget Tighe
  • Kerry Bridget Vetter

View on SEC IAPD

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