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CRD 3028944
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 |
|---|---|---|---|
| AK | RA | APPROVED | 2023-04-25 |
| TX | RA | APPROVED_RES | 2023-01-03 |
| WA | RA | APPROVED | 2022-12-05 |
| CA | RA | APPROVED | 2022-10-25 |
Branch Locations
10400 Ne 4Th St Moutain Pacific, Bellevue, WA 98004 • United States
500 Broadway Street, Vancouver, WA 98660 • United States
1211 Sw 5Th Ave, Portland, OR 97204 • United States
801 W 10Th St, Juneau, AK 99801 • United States
3601 C St, Anchorage, AK 99503 • United States
Sherwood, OR • 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 |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Portland | OR | 01/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Portland | OR | 11/2016 | 09/2022 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Portland | OR | 10/2022 | Present |
TRUSTEE FOR A FAMILY MINERAL TRUST. A NON-INVESTMENT RELATED TRUST FOR WHICH I AM ONE OF SEVERAL FAMILY-MEMBER TRUSTEES. THE TRUST WAS ESTABLISHED 07/2011. I DEVOTE ZERO HOURS TO THIS DURING THE WORK DAY.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-01-14 |
| S63 | Uniform Securities Agent State Law Examination | 1998-07-02 |
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