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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 | 2026-04-09 |
| CO | RA | APPROVED | 2026-02-27 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Jacksonville | FL | 01/2015 | 02/2021 |
| Unemployed | Jacksonville | FL | 03/2021 | 07/2021 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Jacksonville | FL | 07/2021 | 11/2023 |
| Citigroup | Jacksonville | FL | 12/2023 | 05/2025 |
| Robinhood Markets, Inc. | Menlo Park | CA | 06/2025 | 09/2025 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Denver | CO | 02/2026 | Present |
| Unemployed | Broomfield | CO | 09/2025 | 02/2026 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-12-23 |
| S63 | Uniform Securities Agent State Law Examination | 2015-03-02 |
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