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Muneshwar Shridath Prashad

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pennington, NJ

New Hope, PA

CRD 3120702

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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
PA RA APPROVED 2024-08-06
TX RA APPROVED_RES 2013-02-19
NJ RA APPROVED 2007-11-21
  • PA RA
    APPROVED
    Since 2024-08-06
  • TX RA
    APPROVED_RES
    Since 2013-02-19
  • NJ RA
    APPROVED
    Since 2007-11-21

Branch Locations

1100-1800 American Blvd Central Business Review Unit, Pennington, NJ 08534 • United States

New Hope, PA • 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 Somerset NJ 06/1998 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-10-01
S63 Uniform Securities Agent State Law Examination 1998-12-23
  • S65 Uniform Investment Adviser Law Examination
    2007-10-01
  • S63 Uniform Securities Agent State Law Examination
    1998-12-23
Other Names
  • Muneshwar S Prashad

View on SEC IAPD

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