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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
TX RA APPROVED_RES 2020-11-18
IN RA APPROVED 2017-08-22
  • TX RA
    APPROVED_RES
    Since 2020-11-18
  • IN RA
    APPROVED
    Since 2017-08-22

Branch Locations

510 E 96Th St, Indianapolis, IN 46240 • 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 Indianapolis IN 07/2017 Present
Unemployed Indianapolis IN 06/2016 07/2017
Bank Of America, N.A. Indianapolis IN 11/2017 Present
  • 07/2017 → Present
    Merrill Lynch Pierce Fenner & Smith
    Indianapolis, IN
  • 06/2016 → 07/2017
    Unemployed
    Indianapolis, IN
  • 11/2017 → Present
    Bank Of America, N.A.
    Indianapolis, IN
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2017-11-22
S66 Uniform Combined State Law Examination 2008-10-23
  • S63 Uniform Securities Agent State Law Examination
    2017-11-22
  • S66 Uniform Combined State Law Examination
    2008-10-23
Other Names
  • Ashley Bentzen Young
  • Ashley Young
  • Ashley Young Bradburn

View on SEC IAPD

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