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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 |
|---|---|---|---|
| KY | RA | APPROVED | 2023-10-19 |
| NC | RA | APPROVED | 2018-05-18 |
| SC | RA | APPROVED | 2014-03-05 |
| NV | RA | APPROVED | 2011-08-23 |
| TX | RA | APPROVED_RES | 2009-10-07 |
| OH | RA | APPROVED | 2006-02-21 |
Branch Locations
One Bryant Park, New York, NY 10036 • UNITED STATES
520 W New Circle Rd, Lexington, KY 40511 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Chicago | IL | 02/2006 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-04-26 |
| S63 | Uniform Securities Agent State Law Examination | 2004-02-09 |
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