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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
CT RA APPROVED 2009-11-12
  • CT RA
    APPROVED
    Since 2009-11-12

Branch Locations

100 Federal St, Boston, MA 02110 • United States

1 Financial Plz, Providence, RI 02903 • 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, N.A. Boston MA 10/2004 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Boston MA 10/2009 Present
Previous Registrations
  • 2005-03-25 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Boston, MA
    Boston, MA
Other Businesses

1.FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION 2.NAME OF OUTSIDE BUSINESS ORGANIZATION: DENIS D HAMBOYAN 3.INVESTMENT RELATED: N 4.ADDRESS OF BUSINESS: WAKEFIELD, MASSACHUSETTS 1880 5.NATURE OF BUSINESS: FAMILY BUSINESS, 7.POSITION, TITLE, ASSOCIATION: OWNER, 8.START DATE OF RELATIONSHIP: 7/1/2013 9.NUMBER OF HOURS DEVOTED: 3 HOUR(S) MONTHLY 10.NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 11.DUTIES: OWNER/PUCHASER OF MY MOTHER'S THREE-FAMILY RESIDENTIAL RENTAL PROPERTY. DAY TO DAY MANAGEMENT WILL BE CONTRACTED OUT TO MY YOUNGEST SISTER, WHO'S BEEN TAKING CARE OF MY MOTHER'S HOUSE.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-03-23
  • S66 Uniform Combined State Law Examination
    2005-03-23
Other Names
  • Diran J Hamboyan

View on SEC IAPD

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