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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2016-01-21 |
| ID | RA | APPROVED | 2012-12-03 |
| NV | RA | APPROVED | 2009-02-17 |
| TX | RA | APPROVED | 2009-02-16 |
Branch Locations
11811 Bernardo Plaza Ct, San Diego, CA 92128 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Las Vegas | NV | 08/2008 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-02-13 |
| S63 | Uniform Securities Agent State Law Examination | 2000-05-18 |
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