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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 2025-08-06
CT RA APPROVED 2025-05-30
  • TX RA
    APPROVED_RES
    Since 2025-08-06
  • CT RA
    APPROVED
    Since 2025-05-30

Branch Locations

1114 Ave Of The Americas, New York, NY 10036 • United States

157 Church St, New Haven, CT 06510 • 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
The Vanguard Group, Inc. Charlotte NC 07/2016 08/2017
The Vanguard Group Charlotte NC 08/2017 02/2020
Unemployed Torrington CT 02/2020 02/2022
Gwfs Equities, Inc Greenwood Village CO 02/2022 07/2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated New Haven CT 04/2025 Present
Jimmy's Service Group Clearwater Beach FL 06/2024 07/2024
Target Clearwater FL 11/2024 12/2024
Unemployed Torrington CT 01/2025 04/2025
Unemployed Clearwater FL 07/2024 11/2024
Unemployed Derry NH 07/2022 06/2024
Bank Of America, N.A. New Haven CT 08/2025 Present
  • 07/2016 → 08/2017
    The Vanguard Group, Inc.
    Charlotte, NC
  • 08/2017 → 02/2020
    The Vanguard Group
    Charlotte, NC
  • 02/2020 → 02/2022
    Unemployed
    Torrington, CT
  • 02/2022 → 07/2022
    Gwfs Equities, Inc
    Greenwood Village, CO
  • 04/2025 → Present
    New Haven, CT
  • 06/2024 → 07/2024
    Jimmy's Service Group
    Clearwater Beach, FL
  • 11/2024 → 12/2024
    Target
    Clearwater, FL
  • 01/2025 → 04/2025
    Unemployed
    Torrington, CT
  • 07/2024 → 11/2024
    Unemployed
    Clearwater, FL
  • 07/2022 → 06/2024
    Unemployed
    Derry, NH
  • 08/2025 → Present
    Bank Of America, N.A.
    New Haven, CT
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-07-29
S63 Uniform Securities Agent State Law Examination 2022-04-08
  • S66 Uniform Combined State Law Examination
    2025-07-29
  • S63 Uniform Securities Agent State Law Examination
    2022-04-08
Other Names
  • Matthew Carey Hyres
  • Matthew Carey Hyres

View on SEC IAPD

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