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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 | 1998-07-28 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Beaumont | TX | 07/1997 | Present |
| Bank Of America, Na | Beaumont | TX | 02/2010 | Present |
I*586253 For profit or not for profit: Entity For Profit Name of outside business organization: Travis Enterprises LLC Investment related: N Address of business: Beaumont, Texas, 77713 Nature of business: ["Limited Liability Company"] Position, title, association: ["Owner"], Start date of relationship: 8/1/2021 Number of hours devoted: 15 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: , The purpose of this entity is to own a piece of real property that we lease to my husband's business; ownership is in a LLC outside of that business for liability protection and the entity is jointly owned to provide for survivorship. I*51444 For profit or not for profit: For-Profit Organization Name of outside business organization: Hydro Services/Hydro Extractors Investment related: N Address of business: Vidor, Texas 77662 Nature of business: LLC, Position, title, association: Other, LLC Member Start date of relationship: 3/15/2012 Number of hours devoted: 8 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Design/manufacture bundle extractors; contribution of capital as silent "partnr"
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 1998-07-24 |
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