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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 2013-04-30
FL RA APPROVED 2010-09-09
  • TX RA
    APPROVED_RES
    Since 2013-04-30
  • FL RA
    APPROVED
    Since 2010-09-09

Branch Locations

1 Town Center Rd, Boca Raton, FL 33486 • 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
Bank Of America Miami FL 06/2004 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Fort Lauderdale FL 06/2010 Present
Bank Of America, N.A. Boca Raton FL 06/2011 Present
Previous Registrations
  • 2005-03-21 → 2005-05-16
    Banc Of America Investment Services, Inc.
    Miami, FL
Other Businesses

I*136752For profit or not for profit: For-Profit OrganizationName of outside business organization: San Pablo del LagoInvestment related: NAddress of business:Pijal, 0Nature of business: Other,foreign real estate holding companyPosition, title, association: Owner, Start date of relationship: 3/15/2021Number of hours devoted: 5 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: I bought a lot and am building a house in Ecuador, my place of birth. My two best friends, neither are clients, decided to build it with me. Opened RE holding company in Ecuador to subdivide by 3. I*2614270, Entity Type: , Name of OBA: S C, Address: coral springs, Florida, 33067, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 07/11/2025, No Hours: 1 Yearly, No Hours during Trading: 0 Yearly, Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-09-03
  • S66 Uniform Combined State Law Examination
    2010-09-03
Other Names
  • Abraham Cardenas
  • Abraham Allen Cardenas

View on SEC IAPD

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