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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 |
|---|---|---|---|
| DC | RA | APPROVED | 2025-02-19 |
| NJ | RA | APPROVED | 2025-01-24 |
| TX | RA | APPROVED | 2024-10-03 |
| NY | RA | APPROVED | 2024-09-23 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | New York | NY | 12/2011 | 05/2024 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 08/2024 | Present |
| Bank Of America, N.A. | New York | NY | 10/2024 | Present |
Name of the other business: Scotto Family Irrevocable Living TrustWhether the business is investment-related: NoAddress of the other business: Astoria, NYYour position: TrusteeStart date of your relationship: 10-06-2022Approximate number of hours/month you devote to the other business: 0Number of hours you devote to the other business during securities trading hours: 0Briefly describe your duties relating to the other business: Record Keeping & ReportingI*2285271Entity Type: Entity CharitableName of OBA: Immaculate Conception Catholic AcademyAddress: Astoria, New York, 11105Investment Related: NoPosition, Title, Association: Board MemberEmployee Start Date: 04/30/2025Number of Hours: 15, MonthlyNumber of Hours during trading: 0, MonthlyDuties: Education Strategy & Development. Initially charged with development and outreach. As Vice Chair, Operational Structure, Strategy and Alumni engagement. I*3510284 Entity Type: Entity For Profit Name of OBA: PS Strategies LLC Address: Astoria, New York, 11105-3106 Investment Related: No Position, Title, Association: Owner Employee Start Date: 01/23/2026 Number of Hours: 2, Monthly Number of Hours during trading: 0, Monthly Duties: I will own 100% of the proposed LLC. It's purpose is to hold my private ownership in XE-6 Energy. Maintain filing.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-07-05 |
| S65 | Uniform Investment Adviser Law Examination | 2004-01-05 |
| S63 | Uniform Securities Agent State Law Examination | 2003-09-23 |
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