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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-02-26 |
| RI | RA | APPROVED | 2025-02-07 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Oppenheimer & Co. Inc. | New York | NY | 11/2012 | 11/2016 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Providence | RI | 11/2024 | Present |
| Third Bridge | New York | NY | 11/2016 | 12/2017 |
| Unemployed | New York | NY | 01/2018 | 07/2018 |
| M Science | New York | NY | 07/2018 | 12/2018 |
| Unemployed | Scituate | MA | 01/2019 | 02/2022 |
| Pawtucket Public School | Pawtucket | RI | 02/2022 | 02/2023 |
| Unemployed | Providence | RI | 02/2023 | 09/2023 |
| H&M | Providence | RI | 09/2023 | 01/2024 |
| Unemployed | Providence | RI | 02/2024 | 11/2024 |
| Bank Of America, N.A. | Providence | RI | 01/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2025-01-29 |
| S63 | Uniform Securities Agent State Law Examination | 2004-09-13 |
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