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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2021-04-19 |
| CT | RA | APPROVED | 2021-01-29 |
Branch Locations
2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 01/2014 | Present |
| Bank Of America, N.A. | New York | NY | 03/2014 | Present |
(2)FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: OLD STONE HILL ROAD ASSOCIATES INVESTMENT RELATED: Y ADDRESS OF BUSINESS: BEDFORD, NEW YORK 10506 NATURE OF BUSINESS: CORPORATION, POSITION, TITLE, ASSOCIATION: OFFICER, START DATE OF RELATIONSHIP: 9/1/2009 NUMBER OF HOURS DEVOTED: 2 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: FAMILY OWNED HOLDING COMPANY FOR REAL ESTATE PROPERITY HOUSEING A CELL TOWER AND COLLECTING RENTAL INCOME. (3)FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: EAP INC INVESTMENT RELATED: Y ADDRESS OF BUSINESS: BEDFORD, NEW YORK 10506 NATURE OF BUSINESS: CORPORATION, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 1/1/1982 NUMBER OF HOURS DEVOTED: 15 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: FAMILY OWNED HOLDING COMPANY CONSISITING OF NUMEROUS RENTAL AND NON RENTAL PROPERTIES.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-01-26 |
| S63 | Uniform Securities Agent State Law Examination | 1996-12-03 |
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