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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 | 2026-01-09 |
| CA | RA | APPROVED | 2026-01-08 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jp Morgan Securities Llc | Berkeley | CA | 10/2012 | 05/2018 |
| Jp Morgan Chase Bank | Berkeley | CA | 07/2012 | 05/2018 |
| Edward Jones | St. Louis | MO | 06/2018 | 05/2019 |
| E*Trade Capital Management Llc | San Francisco | CA | 05/2019 | 12/2019 |
| E*Trade Securities Llc | San Francisco | CA | 05/2019 | 12/2019 |
| E*Trade Securities Llc | San Francisco | CA | 12/2019 | 01/2024 |
| E*Trade Capital Management Llc | San Francisco | CA | 12/2019 | 01/2024 |
| Morgan Stanley | San Francisco | CA | 03/2023 | 01/2024 |
| Morgan Stanley | San Francisco | CA | 09/2023 | 01/2024 |
| Morgan Stanley | San Francisco | CA | 09/2023 | 01/2024 |
| Wells Fargo Clearing Services, Llc | San Francisco | CA | 01/2024 | 10/2025 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Francisco | CA | 12/2025 | Present |
| Bank Of America, N.A. | San Francisco | CA | 02/2026 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-11-07 |
| S63 | Uniform Securities Agent State Law Examination | 2012-12-31 |
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