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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_RES | 2022-03-29 |
| NY | RA | APPROVED | 2021-04-20 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| John Hancock | New York | NY | 07/2011 | 05/2017 |
| John Hancock Distributors Llc | Boston | MA | 08/2011 | 05/2017 |
| Jp Morgan Securities, Llc | New York | NY | 09/2017 | 04/2021 |
| Unemployment | New York | NY | 05/2017 | 09/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 04/2021 | Present |
| Bank Of America, N.A. | New York | NY | 05/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-10-19 |
| S63 | Uniform Securities Agent State Law Examination | 2011-08-26 |
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