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CRD 4667976
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 |
|---|---|---|---|
| WV | RA | APPROVED | 2024-05-16 |
| TX | RA | APPROVED | 2024-05-15 |
| IN | RA | APPROVED | 2024-05-13 |
| KY | RA | APPROVED | 2024-05-10 |
Branch Locations
Louisville, KY • United States
2301 Se Monterey Rd, Stuart, FL 34996 • United States
1117 3Rd Ave, Huntington, WV 25701 • United States
500 Lee St E, Charleston, WV 25301 • United States
7300 Eagle Crest Blvd, Evansville, IN 47715 • United States
101 Bullitt Ln, Louisville, KY 40222 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Edward Jones | St Louis | MO | 04/2014 | 11/2022 |
| Baird | Louisville | KY | 11/2022 | 03/2024 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Louisville | KY | 05/2024 | Present |
Rental Property 8705 Deer Point Ct Louisville KY 40242Start date: 4/1/2018 Owner Hours per week: 0 Hours during trading: 0Maintain rental property I*1835275, Entity Type, Name of OBA: Rental Property 1Address: LouisvilleKentucky40242 Investment Related: No Position, Title, Association: Co-owner with other family members Employee Start Date:03/01/2019 No Hours: 2 monthly No Hours during trading:0 Duties:
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-06-23 |
| S63 | Uniform Securities Agent State Law Examination | 2005-07-25 |
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