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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2023-10-11 |
| TX | RA | APPROVED_RES | 2023-08-30 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.P Morgan Chase Ntl Cp Svcs | Miami | FL | 03/2012 | 08/2023 |
| J.P Morgan Securities Llc. | Miami | FL | 03/2012 | 08/2023 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Miami | FL | 08/2023 | Present |
| Bank Of America, N.A. | Miami | FL | 09/2023 | Present |
I* 1711257For profit or not for profit: Entity For ProfitName of outside business organization: Michael Brothers & Associates LLCInvestment related: noAddress of business: Sarasota, FL, 34232Nature of business: Limited Liability CompanyPosition, title, association: OwnerStart date of relationship: 02/20/2024Number of hours devoted: 0 yearly Number of hours devoted during trading hours: 0Duties: Passive partial owner of the business. Purpose of the entity is to start up an agri business project in Mexico. I* 1711258 For profit or not for profit: Entity For Profit Name of outside business organization: LLC Investment related: no Address of business: Coral Gables, FL, 33156 Nature of business: Limited Liability Company Position, title, association: Owner Start date of relationship: 12/08/2023 Number of hours devoted: 0 yearly Number of hours devoted during trading hours: 0 Duties: This LLC owns my primary residence. I will not be renting this property.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-10-02 |
| S66 | Uniform Combined State Law Examination | 2009-12-09 |
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