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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
NJ RA APPROVED 2024-08-13
NY RA APPROVED 2021-04-19
TX RA APPROVED_RES 2019-04-02
CT RA APPROVED 2015-10-12
  • NJ RA
    APPROVED
    Since 2024-08-13
  • NY RA
    APPROVED
    Since 2021-04-19
  • TX RA
    APPROVED_RES
    Since 2019-04-02
  • CT RA
    APPROVED
    Since 2015-10-12

Branch Locations

One Bryant Park Investment Solutions Group, New York, NY 10036 • 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 New York NY 03/2015 Present
  • 03/2015 → Present
    Merrill Lynch Pierce Fenner & Smith
    New York, NY
Other Businesses

I*522262, Entity Type: Entity Governmental, Name of OBA: US Army Reserve, Address: Schenectady, New York 12309, Investment Related: N, Position, Title, Association: Employee, Employee Start Date: 11/01/2015, No Hours: 170, No Hours during trading: 0, Duties: Reserve component of the United States Army - the world's premier fighting force. The mission of the US Army is to fight and win our Nation's wars, by providing prompt, sustained land dominance, across the full range of military operations and the spectrum of conflict, in support of combatant commanders. I am an instructor for the Commanding General Staff Officer Course, responsible for providing world-class education to future Army leaders, advancing the art and science of the Profession of Arms in support of Army operational requirements.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-10-09
  • S66 Uniform Combined State Law Examination
    2015-10-09
Other Names
  • Richard D Salmon

View on SEC IAPD

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