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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 |
|---|---|---|---|
| SC | RA | APPROVED | 2025-05-30 |
| NY | RA | APPROVED | 2021-04-19 |
| CT | RA | APPROVED | 2016-06-13 |
Branch Locations
One Bryant Park, New York, NY 10036 • United States
300 Broadhollow Rd, Melville, NY 11747 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 09/1993 | Present |
| Bank Of America, N.A. | New York | NY | 05/2012 | Present |
I*4321278, Entity Type: Entity Charitable, Name of OBA: The Tau Omega Charitable Trust Fund, Incorporated, Address: New York , New York, 10026, Investment Related: N, Position, Title, Association: Board Member, Employee Start Date: 04/11/2026, No Hours: 2 Monthly, No Hours during Trading: 0 Monthly, Duties: To help the organization towards a sustainable future. Mentoring young people in the community and support community programs. A Harlem based organization to encourage the growth of young people through mentoring and financial support of their educational endeavors. I will be a member-at-large board member.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-06-10 |
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