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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 | 2021-04-27 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Sugar Land | TX | 07/2010 | 11/2016 |
| Wells Fargo Bank, N.A. | Sugar Land | TX | 08/1998 | 10/2020 |
| Wells Fargo Clearing Services, Llc | Sugar Land | TX | 11/2016 | 10/2020 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Houston | TX | 03/2021 | Present |
| Unemployed | Sugar Land | TX | 10/2020 | 03/2021 |
MARY KAY; NOT INVESTMENT RELATED; SUGAR LAND, TX; INDEDPENDENT BEAUTY CONSULTANT; START DSTE 7/2012; 5 HRS PER MONTH; 0 HRS DURING TRADING. I*1579288Name of outside business organization: Riman, IncInvestment related: NoAddress of business:Sugar Land, TexasNature of business: Sole Proprietorship Position, title, association: Consultant/Independent ContractorStart date of relationship: 11/22/2023Number of hours devoted: 0Number of hours devoted during trading hours:0Duties: Riman, Inc is a Korean-based skin care company. My responsibility is to purchase the products for personal use. I can receive 10% commissions for each order I place.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-08-22 |
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