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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 | 2024-07-15 |
| PA | RA | APPROVED | 2024-05-20 |
Branch Locations
One Bryant Park, New York, NY 10036 • UNITED STATES
180 Fort Couch Rd, Upper Saint Clair, PA 15241 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Lubbock | TX | 03/2012 | 12/2021 |
| Bank Of America, N.A. | Lubbock | TX | 08/2012 | 12/2021 |
| Aim Financial Strategies, Llc | Lubbock | TX | 01/2022 | 04/2024 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Upper Saint Clair | PA | 04/2024 | Present |
| Bank Of America, N.A. | Upper Saint Clair | PA | 02/2025 | Present |
I*427372, Entity Type: For Profit, Name of OBA: Chegg Address: Santa Clara CA 95054 Investment Related: No Position, Title, Association: Consultant/Independent Contractor Employee Start Date: 10/13/2020 No Hours:30 monthly No Hours during trading:0 Duties: instructional design for online lessons I*394029, Entity Type: Charitable, Name of OBA: Lubbock Symphony Orchestra Address: Lubbock, TX 79401 Investment Related: No Position, Title, Association: Other, Committee Employee Start Date:10/01/2014 No Hours: .33 monthly No Hours during trading: .33 monthly Duties: Secretary on the Board of Directors of the orchestra. I take minutes of board meetings. I*2107270, Entity Type Charitable, Name of OBA: Pittsburgh Symphony Orchestra Address: Pittsburgh, PA 15222 Investment Related: No Position, Title, Association: Committee Employee Start Date:11/29/2024 No Hours:4 No Hours during trading:0 Duties: Help brainstorm long-term plan of activities to increase community engagement of the PSO I*3046265 Entity Type: Rental Property Name of OBA: Rental Property 1 Address: Lubbock Texas Investment Related: No Position, Title, Association: Sole owner Start Date:10/01/2025 No Hours: 1 Yearly No Hours during trading: 0 Duties: N/A I*3046267 Entity Type: For ProfitName of OBA: Mercor Address: San Francisco, CA 94105 Investment Related: No Position, Title, Association: Other Employee Start Date: 11/15/2025 Number of Hours: 4, WeeklyNumber of Hours during trading: 0 Duties: Mercor is a tech company that trains AI It's a part-time contract to train AI, not finance-related.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2024-06-03 |
| S66 | Uniform Combined State Law Examination | 2012-06-23 |
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