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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 | 2020-01-08 |
| IL | RA | APPROVED | 2020-01-03 |
Branch Locations
110 N Wacker Dr, Chicago, IL 60606 • United States
Downers Grove, IL • 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 |
|---|---|---|---|---|
| J.P. Morgan Securities Llc | Chicago | IL | 10/2012 | 01/2017 |
| Vestor Capital Llc | Chicago | IL | 06/2018 | 07/2018 |
| Vestor Capital Securities | Chicago | IL | 06/2018 | 07/2018 |
| Unemployed | Chicago | IL | 07/2018 | 10/2018 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Chicago | IL | 12/2019 | Present |
| Mather Group | Chicago | IL | 11/2018 | 01/2019 |
| Unemployed | Chicago | IL | 02/2019 | 11/2019 |
| Uemployed | Chicago | IL | 01/2017 | 06/2018 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-12-08 |
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