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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 | 2023-06-14 |
| NJ | RA | APPROVED | 2023-06-09 |
| TX | RA | APPROVED_RES | 2023-06-06 |
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 |
|---|---|---|---|---|
| Citigroup | New York | NY | 07/2013 | 09/2020 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 01/2023 | Present |
| Brown Brothers Harriman | New York | NY | 06/2021 | 01/2023 |
| Self-Employed | Brooklyn | NY | 10/2020 | 05/2021 |
| New York Life Insurance | New York | NY | 03/2022 | 12/2022 |
| Bank Of America, N.A. | New York | NY | 08/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-04-15 |
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