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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2024-05-11 |
| TX | RA | APPROVED_RES | 2024-01-31 |
Branch Locations
One Bryant Park Investment Solutions Group, New York, NY 10036 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 08/2005 | Present |
I*103096 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: BAY HEAD YACHT CLUB INVESTMENT RELATED: N ADDRESS OF BUSINESS: BAY HEAD, NEW JERSEY 08742 NATURE OF BUSINESS: OTHER,YACHT CLUB POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 5/1/2017 NUMBER OF HOURS DEVOTED: 5 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: AUDIT COMMITTEE MEMBER FOR THE YACHT CLUB OUR FAMILY BELONGS TO.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-05-10 |
| S63 | Uniform Securities Agent State Law Examination | 2005-12-30 |
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