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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 | 2021-12-10 |
Branch Locations
4281 Esplanade Pl, Flower Mound, TX 75028 • United States
13355 Noel Rd Division - Texas South, Dallas, TX 75240 • United States
1 Cowboys Way, Frisco, TX 75034 • United States
Frisco, TX • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Scottrade, Inc. | Frisco | TX | 05/2008 | 11/2018 |
| Ubs Financial Services Inc. | Dallas | TX | 11/2018 | 12/2021 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Frisco | TX | 12/2021 | Present |
1)The Estate of Johnnie Lacy /Texas / United States / Other / Executor of the Estate / Other / As the Executor of her estate I will be handling her affairs and instructions within the will when she passes away. Mostly disbursing assets to her beneficiaries / Other / My great aunt asked if I would do this for her. She believes I am the most responsible/experienced person to carry out her wishes according to her will. / Authority to Make Inv. decisions?: Yes / Start Date 11/19/2019 / 2)Rental Property / United States / Lewisville, TX / rental property - I own my childhood home where I grew up / land lord / owner / Receive Compensation?: YES / Authority to Make Investment Decisions?: YES / Start Date 1/1/2005 3) The Johnnie Lacy Living Trust/investment related?;no/ 713 sweetbriar dr,dallas,75067, US/ function as the trustee for approximately $550,000 in assets/start date:10/24/2020/
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-12-23 |
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