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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 | 2018-12-03 |
Branch Locations
800 N Shoreline Blvd, Corpus Christi, TX 78401 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Corpus Christi | TX | 01/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Corpus Christi | TX | 11/2016 | 11/2018 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Corpus Christi | TX | 11/2018 | Present |
| Bank Of America, N.A. | Corpus Christi | TX | 02/2019 | Present |
I*119374 For profit or not for profit: For-Profit Organization Name of outside business organization: Reflections Investment related: N Address of business: Corpus Christi, Texas 78410 Nature of business: Sole Proprietorship, Position, title, association: Officer, Start date of relationship: 11/1/2007 Number of hours devoted: 15 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Provides DJ music and live singing performances
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-05-12 |
| S63 | Uniform Securities Agent State Law Examination | 1997-04-30 |
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