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Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars
  • PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2015-08-13
FL RA APPROVED 2007-08-28
  • TX RA
    APPROVED_RES
    Since 2015-08-13
  • FL RA
    APPROVED
    Since 2007-08-28

Branch Locations

701 Brickell Ave, Miami, FL 33131 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691 Coral Gables FL 05/2007 Present
Bank Of America Na Coral Gables FL 02/2011 Present
  • 05/2007 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691
    Coral Gables, FL
  • 02/2011 → Present
    Bank Of America Na
    Coral Gables, FL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-08-24
  • S66 Uniform Combined State Law Examination
    2007-08-24
Other Names
  • Ana Carolina Melo Silva
  • Ana Carolina Melo Silva

View on SEC IAPD

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