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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
FL RA APPROVED 2014-06-19
  • FL RA
    APPROVED
    Since 2014-06-19

Branch Locations

One Bryant Park, New York, NY 10036 • UNITED STATES

9000 Southside Blvd Bldg 400, Jacksonville, FL 32256 • 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 Jacksonville FL 11/2007 Present
Other Businesses

I*89156 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: JUST CAKIN' IT INVESTMENT RELATED: N ADDRESS OF BUSINESS: JACKSONVILLE, FLORIDA 32218 NATURE OF BUSINESS: SOLE PROPRIETORSHIP, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 12/25/2015 NUMBER OF HOURS DEVOTED: 20 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: THIS IS A HOME BAKERY. I WILL BE THE SOLE OWNER WITH NO EMPLOYEES, BAKING AND DECORATING CAKES PART-TIME.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-09-08
  • S66 Uniform Combined State Law Examination
    2009-09-08

View on SEC IAPD

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