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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 |
|---|---|---|---|
| NJ | RA | APPROVED | 2025-01-16 |
| NY | RA | APPROVED | 2024-11-12 |
| CA | RA | APPROVED | 2023-05-10 |
| TX | RA | APPROVED | 2023-05-10 |
Branch Locations
Jersey City, NJ • United States
225 Liberty St, New York, NY 10281 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.P. Morgan Securities Llc | San Francisco | CA | 05/2015 | 08/2017 |
| Jpmorgan Chase Bank Na | San Francisco | CA | 05/2015 | 08/2017 |
| Rbc Capital Markets, Llc | San Francisco | CA | 08/2017 | 01/2018 |
| Montcalm Tcr Llc | San Francisco | CA | 01/2018 | 05/2019 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Francisco | CA | 05/2019 | 03/2023 |
| First Republic Securities Company, Llc | San Francisco | CA | 03/2023 | 04/2023 |
| First Republic Investment Management, Inc | San Francisco | CA | 03/2023 | 04/2023 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Francisco | CA | 04/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-03-10 |
| S63 | Uniform Securities Agent State Law Examination | 2004-02-25 |
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