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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_RES | 2007-03-09 |
| IN | RA | APPROVED | 2005-10-18 |
Branch Locations
9921 Dupont Circle Dr W, Fort Wayne, IN 46825 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Inc. | Angola | IN | 08/2001 | Present |
(2)FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: RESTAURANT INVESTMENT RELATED: NO ADDRESS OF BUSINESS: ANGOLA, INDIANA 46703 NATURE OF BUSINESS: RESTAURANT POSITION, TITLE, ASSOCIATION: OWNER START DATE OF RELATIONSHIP: 05/07/2010 NUMBER OF HOURS DEVOTED: 20 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 HOUR(S) MONTHLY DUTIES: ACCOUNTING, BILL PAYING, CHECK WRITING, FINANCIAL OVERSIGHT AND TAX PREPARATION.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-11-21 |
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