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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 | 2024-03-18 |
| CA | RA | APPROVED | 2024-03-15 |
Branch Locations
2049 Century Park E Pbig - Century City, Los Angeles, CA 90067 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.P. Morgan Securities Llc | Scottsdale | AZ | 06/2013 | 03/2024 |
| Jpmorgan Chase Bank Na | Scottsdale | AZ | 04/2013 | 03/2024 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Los Angeles | CA | 03/2024 | Present |
| Bank Of America, N.A | Los Angeles | CA | 04/2024 | Present |
I*5473273, Entity Type: , Name of OBA: J A, Address: Mesa, Arizona, 85201, Investment Related: N, Position, Title, Association: Conservator, Employee Start Date: 08/18/2026, No Hours: 5 Monthly, No Hours during Trading: 0 Monthly, Duties:
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-03-14 |
| S63 | Uniform Securities Agent State Law Examination | 2013-09-10 |
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