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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 | 2025-09-17 |
| NY | RA | APPROVED | 2025-06-06 |
Branch Locations
One Bryant Park, New York, NY 10036 • United States
Roslyn , NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Deutsche Bank Securities Inc | New York | NY | 03/2013 | 09/2016 |
| Raymond James & Associates, Inc. | New York | NY | 09/2016 | 06/2019 |
| Wells Fargo Clearing Services, Llc | New York | NY | 06/2019 | 06/2025 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 06/2025 | Present |
| Bank Of America, N.A. | New York | NY | 06/2025 | Present |
I*3491270Entity Type: Fiduciary role Name of OBA: R Z Estate Address: Roslyn, New York, 11576Investment Related: No Position, Title, Association: Executor Employee Start Date: 01/15/2026 Number of Hours: 1, Weekly Number of Hours during trading: 0 Duties: Executor/ Child/Grandchild I*3755315 Entity Type: N/A Name of OBA: L P Address: Woodbury, New York, 11798 Investment Related: No Position, Title, Association: Successor Trustee Employee Start Date: 02/04/2031 Number of Hours: 1, Weekly Number of Hours during trading: 1, Weekly Duties: Successor Trustee/ Siblings I*: 4508316 Entity Type: Fiduciary role Name of OBA: J. P Z. EXEC L.Y P. EXEC EST OF R. A. Z. Address: Roslyn, New York, 11576 Investment Related: No Position, Title, Association: Executor Employee Start Date: 04/28/2026 Number of Hours: 3, Monthly Number of Hours during trading: 0 Duties: Executor/Siblings
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-02-14 |
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