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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2021-04-19 |
| FL | RA | APPROVED | 2020-12-02 |
| NJ | RA | APPROVED | 2010-05-03 |
| TX | RA | APPROVED | 2010-05-03 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 05/2010 | Present |
| Bank Of America, N.A. | New York | NY | 07/2010 | Present |
I*81145 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: UJA FEDERATION OF NY INVESTMENT RELATED: N ADDRESS OF BUSINESS: 130 EAST 59TH STREET, NEW YORK, NEW YORK 10022 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 5/7/2015 NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: MEMBER OF YOUNG WALL STREEET EXECUTIVE COMMITTEE. WILL BE INVOLVED IN HELPING TO ORGANIZE VOLUNTEER PROJECTS AND FUNDRAISING EVENTS.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-08-25 |
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