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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2021-04-19 |
| TX | RA | APPROVED_RES | 2016-01-21 |
| CT | RA | APPROVED | 2013-11-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 11/2013 | Present |
| Bank Of America, N.A. | New York | NY | 11/2013 | Present |
I*1467267For profit or not for profit: Name of outside business organization: Leisure Travel Designers LLCInvestment related: NAddress of business: , , , Nature of business: Position, title, association: , Start date of relationship: Number of hours devoted: hour(s) Number of hours devoted during trading hours: Duties: , My wife owns and operates a travel agency. She occasionally needs assistance with clerical/operational issues and data entry. She would also like it if I could cover her phone and email when she and her assistant are unavailable, which might only happen once a year if they happen to be travelling at the same time. I*2026491, Entity Type, Entity Charitable, Name of OBA: Finpublica, Address: hastings on hudson, New York, 10706, Investment Related: No, Position, Title, Association: Board Mbr, Employee Start Date: 10/11/2024, No Hours: 1hr/Weekly, No Hours during trading: 0, Duties: Finpublica is a non profit focused on environmental and social thought leadership. As a board member I will help with non-financial operations. My primary focus will be on helping implement project management processes.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-10-05 |
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