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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 | 2021-10-18 |
| NY | RA | APPROVED | 2021-04-19 |
| NJ | RA | APPROVED | 2012-10-19 |
Branch Locations
Garden City, NY • United States
One Bryant Park Investment Solutions Group, New York, NY 10036 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner &Amp; Smith Incorporated | Jersey City | NJ | 09/2012 | Present |
I*121092For profit or not for profit: Non-Profit OrganizationName of outside business organization: Music and Theory Podcast (not a formal legal name)Investment related: NAddress of business:Garden City, New York 11530Nature of business: Other,This is not a legal entity of any kindPosition, title, association: Other, I will be a participant on a podcastStart date of relationship: 3/1/2019Number of hours devoted: 4 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: Just to be clear, this is not a formal legal entity, but "non-profit" was the closest relevant selection. I am recording a podcast related to music and other art-based topics. I will typically record this on a bi-weekly basis and publish. I*2215306, Entity Type: Entity Charitable, Name of OBA: Expect Miracles Foundation, Address: Boston, Massachusetts, 02111, Investment Related: N, Position, Title, Association: Board Member, Employee State Date: 02/27/2025, No Hours: 40 Yearly, No Hours during Trading: 10 Yearly, Duties: Expect Miracles Foundation EMF, where the power of collective compassion and unwavering commitment converges to create a profound difference. Since our inception in 1995, we have been tirelessly working to transform lives affected by cancer. With a resolute spirit and a mission to inspire hope, we are proud to have awarded over $21 million in grants to support groundbreaking cancer research and provide financial assistance to those on their journey towards healing following their cancer treatment.I will serve on the board of directors, seeking to raise awareness of the Foundation, it's mission and aid in it's fundraising endeavors.I will be serving on the board, but will not have direct access to funds. Rather, I am asked to help raise awareness of the foundation and raise funds, as appropriate. I*2758265, Entity Type: Entity For Profit, Name of OBA: SPMUSIC (Not a legal entity, as yet), Address: Garden City, New York, 11530, Investment Related: N, Position, Title, Association: General Partner/Managing Member, Employee State Date: 09/01/2025, No Hours: 20 Monthly, No Hours during Trading: 0 Monthly, Duties: I am the performer and sole "owner" of this endeavor I want to begin playing music in my personal time away from the Firm. I will likely be compensated for such activities, and, if approved, will look to develop social media pages to support and draw interest. I*5007268, Entity Type: , Name of OBA: L S. and S X. P Family Trust, Address: Garden City, New York, 11530, Investment Related: N, Position, Title, Association: Co-Trustee, Employee Start Date: 08/03/2026, No Hours: 2 Monthly, No Hours during Trading: 0 Monthly, Duties:
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-12-23 |
| S63 | Uniform Securities Agent State Law Examination | 2000-12-29 |
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