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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 2016-02-24
SC RA APPROVED 2014-12-08
  • TX RA
    APPROVED_RES
    Since 2016-02-24
  • SC RA
    APPROVED
    Since 2014-12-08

Branch Locations

308 Park Ave, Aiken, SC 29801 • United States

Aiken, SC • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Aiken SC 12/2014 Present
Bank Of America, N.A. Aiken SC 12/2014 Present
Previous Registrations
  • 2009-06-17 → 2014-12-08
    St Louis, MO
    Aiken, SC
    Cayce, SC
Other Businesses

RENTAL PROPERTYSUMMERVILLE, SC 29843SINCE 1/1/2005OWNERI*2929269, Entity Type: , Name of OBA: C K, Address: west columbia, South Carolina, 29170, Investment Related: N, Position, Title, Association: Executor, Employee State Date: 10/22/2025, No Hours: 0 Yearly, No Hours during Trading: 0 Yearly, Duties: I*2929271, Entity Type: , Name of OBA: P K, Address: West Columbia, South Carolina, 29170, Investment Related: N, Position, Title, Association: Executor, Employee State Date: 10/22/2025, No Hours: 0 Yearly, No Hours during Trading: 0 Yearly, Duties: I*2929274, Entity Type: , Name of OBA: C K, Address: West Columbia, South Carolina, 29170, Investment Related: N, Position, Title, Association: Successor Power of Attorney, Employee State Date: 10/22/2025, No Hours: 0 Yearly, No Hours during Trading: 0 Yearly, Duties: I*2929275, Entity Type: , Name of OBA: P K, Address: West Columbia, South Carolina, 29170, Investment Related: N, Position, Title, Association: Successor Power of Attorney, Employee State Date: 10/22/2025, No Hours: 0 Yearly, No Hours during Trading: 0 Yearly, Duties: I*2930271, Entity Type: , Name of OBA: CP K Trust, Address: West Columbia, South Carolina, 29170, Investment Related: N, Position, Title, Association: Successor Trustee, Employee State Date: 10/22/2025, No Hours: 0 Yearly, No Hours during Trading: 0 Yearly, Duties: I*3403269 Entity Type: Entity For Profit Name of OBA: Always Raising the Bar Address: Aiken, South Carolina, 29803 Investment Related: No Position, Title, Association: Officer,Owner Employee Start Date: 01/01/2026 Number of Hours: 15, Monthly Number of Hours during trading: 0, Monthly Duties: Starting a apparel brand business co-owner. assist in initial outfit and inventory cost, assist in creating brand and product ideas, assist in marketing strategy.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-06-12
S63 Uniform Securities Agent State Law Examination 2007-12-06
  • S66 Uniform Combined State Law Examination
    2009-06-12
  • S63 Uniform Securities Agent State Law Examination
    2007-12-06
Other Names
  • Jamin M King

View on SEC IAPD

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