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Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars
  • PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2015-07-01
MI RA APPROVED 2012-12-18
  • TX RA
    APPROVED_RES
    Since 2015-07-01
  • MI RA
    APPROVED
    Since 2012-12-18

Branch Locations

250 Monroe Ave Nw, Grand Rapids, MI 49503 • United States

Spring Lake, MI • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Grand Rapids MI 09/2012 Present
Bank Of America, N.A. Grand Rapids MI 04/2013 Present
Other Businesses

I*1942280 , Entity Type, Name of OBA: Power of Attorney, Successor Trustee Address:Delray Beach, Florida, 33445 Investment Related: No Position, Title, Association:Successor Trustee Employee Start Date: 8/8/2024 No Hours: No Hours during trading: Duties: Trustee for non - immediate family (Uncle) I*1942282 , Entity Type, Name of OBA: Power of Attorney, Successor Trustee Address:Delray Beach, Florida, 33445 Investment Related:No Position, Title, Association: Successor Trustee Employee Start Date: 8/8/24 No Hours: No Hours during trading: Duties: Power of Attorney, Successor Trustee for non-immediate family (Aunt)

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-12-15
  • S66 Uniform Combined State Law Examination
    2012-12-15
Other Names
  • Ruachim Kaiam Gordon
  • Ruachim Kaiam Gordon
  • Rua Gordon

View on SEC IAPD

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