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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 | 2023-10-24 |
Branch Locations
300 Broadhollow Rd, Melville, NY 11747 • United States
One Bryant Park, New York, NY 10036 • United States
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 |
|---|---|---|---|---|
| Citi | New York | NY | 11/2012 | 03/2021 |
| First Republic Bank | New York | NY | 03/2021 | 08/2023 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 09/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-04-12 |
| S63 | Uniform Securities Agent State Law Examination | 2006-10-16 |
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