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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 |
|---|---|---|---|
| NJ | RA | APPROVED | 2026-07-07 |
| NY | RA | APPROVED | 2021-04-19 |
| TX | RA | APPROVED | 2019-03-06 |
| CT | RA | APPROVED | 2018-11-01 |
Branch Locations
225 Liberty St, New York, NY 10281 • United States
Chatham , NJ • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Funds Distributor, Llc | New York | NY | 08/2015 | 05/2017 |
| Unemployed | Greenwich | CT | 05/2017 | 09/2017 |
| Raymond James & Associates, Inc. | Greenwich | CT | 09/2017 | 09/2018 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 11/2022 | Present |
| Alex. Brown | New York | NY | 09/2017 | 09/2017 |
| Bank Of America, N.A. | New York | NY | 11/2022 | Present |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 10/2018 | 11/2022 |
| Bank Of America, N.A. | New York | NY | 10/2018 | 11/2022 |
I*1491296, Entity Type: Entity For Profit, Name of OBA: ProTerra Dental Group, P.C., Address: New York, New York, 10065, Investment Related: N, Position, Title, Association: Consultant/Independent Contractor, Employee State Date: 09/19/2023, No Hours: 1 Yearly, No Hours during Trading: 0 Yearly, Duties: Entity is a single member S-Corp owned 100% by my wife, M A. I do not have any ownership of this business nor do I partake in any business functions. In the future, I may take on a Consulting role to assist in expanding the business.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-03-13 |
| S63 | Uniform Securities Agent State Law Examination | 2013-02-15 |
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