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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 |
|---|---|---|---|
| HI | RA | APPROVED | 2024-01-30 |
| SC | RA | APPROVED | 2021-02-25 |
| TX | RA | APPROVED_RES | 2014-09-03 |
| NC | RA | APPROVED | 2002-11-14 |
Branch Locations
620 S Tryon St, Charlotte, NC 28255 • United States
Kapolei, HI • United States
Fort Mill, SC • United States
1 disclosure category 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 | Charlotte | NC | 08/1998 | Present |
| Bank Of America,N.A. | Charlotte | NC | 06/2011 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-08-27 |
| S66 | Uniform Combined State Law Examination | 1998-10-22 |
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