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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 |
|---|---|---|---|
| WA | RA | APPROVED | 2022-10-20 |
| TX | RA | APPROVED | 2022-07-29 |
Branch Locations
Woodinville, WA • United States
10400 Ne 4Th St, Bellevue, WA 98004 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Oak Brook | IL | 07/2014 | 09/2021 |
| Ubs Financial Services Inc. | Phoenix | AZ | 09/2021 | 06/2022 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bellevue | WA | 07/2022 | Present |
I*73523For profit or not for profit: For-Profit OrganizationName of outside business organization: B. B Real Estate Holdings CO, LLCInvestment related: YesAddress of business: Ballwin, Missouri 63021Nature of business: LLCPosition, title, association: Family Held Start date of relationship: 6/1/1996Number of hours devoted: 30 hrs MthlyNumber of hours devoted during trading hours: 0Duties: Co-ownership with my older sisters of residential/commercial real estate properties from my parents as part of estate/business continuity plan. I*75562NON-PROFIT ORGANIZATION: TRUSTEEINVESTMENT RELATED: YesADDRESS OF BUSINESS: BALLWIN, MISSOURI 63021NATURE OF BUSINESS: TRUSTPOSITION: FAMILY HELDSTART DATE OF RELATIONSHIP: 8/25/2011NUMBER OF HOURS DEVOTED: 10 HRS ANNUALLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: ESTATE PLANNING WITH ATTORNEY TO MINIMIZE DEATH TAXES AND TRANSFER OF REAL ESTATE PORTFOLIO. THIS IS RELATED TO COMPLEX PLAN WITH LIVING TRUST WHICH I'M ALSO TRUSTEE TO ENSURE MAINTAINANCE OF LIFE INSURANCE. I*1193254For profit or not for profit: Entity For ProfitName of outside business organization: PATB LLCInvestment related: NoAddress of business: St. Louis, Missouri, 63127Nature of business: Limited Liability CompanyPosition, title, association: Owner Start date of relationship: 2/22/2023Number of hours devoted: 0 Number of hours devoted during trading hours: 0Duties: Commercial rental property under this entity with my three sisters and myself as beneficial owners. I*2076270, Entity Type Fiduciary, Name of OBA: BCB Address: Ballwin, Missouri, 63021 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 04-Nov-2024 No Hours: 1 yearly No Hours during trading: 0 Duties: I*: 2301258Entity Type: For ProfitName of OBA: Soul Space Farm, LLCAddress: Woodinville, WA 98072Investment Related: NoPosition, Title, Association: Owner Employee Start Date: 5/1/2025Number of Hours: 12 hrs annuallyNumber of Hours during trading: 0 Duties: Farming for organic vegetables and flowers, wife will be primary driver of day to day activities, I will assist if needed. I*3818275, Entity Type: , Name of OBA: B C. B Living Trust U/A 12/4/1996, Address: Ballwin, Missouri, 63021, Investment Related: N, Position, Title, Association: Trustee, Employee Start Date: 02/20/2026, No Hours: 10 Yearly, No Hours during Trading: 0 Yearly, Duties:
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-08-19 |
| S63 | Uniform Securities Agent State Law Examination | 1998-08-01 |
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