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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
RI RA APPROVED 2023-06-16
TX RA APPROVED_RES 2022-06-06
CT RA APPROVED 2022-03-21
  • RI RA
    APPROVED
    Since 2023-06-16
  • TX RA
    APPROVED_RES
    Since 2022-06-06
  • CT RA
    APPROVED
    Since 2022-03-21

Branch Locations

2061 Diamond Hill Rd, Cumberland, RI 02864 • United States

1625 Mineral Spring Ave, North Providence, RI 02904 • 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 Seekonk MA 12/2021 Present
Bank Of America North Providence RI 03/2015 Present
Other Businesses

Rodan and Fields Not investment related Corporate Address: 60 Spears St #600 San Francisco CA 94105 Skincare I am an Independent Consultant I started May 2020 I spend about 20 hours a month between nights and weekends. Never during business hours. I do skincare consultations and sell the skincare products that fit their needs. I make a commission off my sales.. I*576231, Entity Type: Entity For Profit, Name of OBA: Rodan + Fields, Address: San Francisco, California 94105, Investment Related: N, Position, Title, Association: Other, Employee Start Date: 05/01/2020, No Hours: 12, No Hours during trading: 0, Duties: I am an independent consultant for Rodan + Fields. I receive commission for the products I sell.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-03-17
  • S66 Uniform Combined State Law Examination
    2022-03-17
Other Names
  • Ashley Nicole Crocker

View on SEC IAPD

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