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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 2025-03-14
CA RA APPROVED 2024-11-12
  • TX RA
    APPROVED_RES
    Since 2025-03-14
  • CA RA
    APPROVED
    Since 2024-11-12

Branch Locations

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

275 E Rivulon Blvd, Gilbert, AZ 85297 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Cox College Springfield MO 05/2015 12/2017
Desert Hand Therapy Phoenix AZ 01/2018 03/2018
Encompass Health- Healthsouth Mesa AZ 04/2018 07/2018
Stokes Home Health Gilbert AZ 08/2018 11/2022
A Plus Homecare Tempe AZ 05/2021 07/2024
Premier One Homecare Mesa AZ 06/2022 07/2024
Home Sweet Homecare Tempe AZ 08/2022 07/2024
Merrill Lynch Pierce, Fenner & Smith, Inc. Gilbert AZ 07/2024 Present
Bank Of America, N.A. Gilbert AZ 08/2024 Present
  • 05/2015 → 12/2017
    Cox College
    Springfield, MO
  • 01/2018 → 03/2018
    Desert Hand Therapy
    Phoenix, AZ
  • 04/2018 → 07/2018
    Encompass Health- Healthsouth
    Mesa, AZ
  • 08/2018 → 11/2022
    Stokes Home Health
    Gilbert, AZ
  • 05/2021 → 07/2024
    A Plus Homecare
    Tempe, AZ
  • 06/2022 → 07/2024
    Premier One Homecare
    Mesa, AZ
  • 08/2022 → 07/2024
    Home Sweet Homecare
    Tempe, AZ
  • 07/2024 → Present
    Merrill Lynch Pierce, Fenner & Smith, Inc.
    Gilbert, AZ
  • 08/2024 → Present
    Bank Of America, N.A.
    Gilbert, AZ
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-10-25
  • S66 Uniform Combined State Law Examination
    2024-10-25
Other Names
  • Ryan Mabry
  • Ryan A Mabry

View on SEC IAPD

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