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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
NY RA APPROVED 2021-04-19
TX RA APPROVED 2020-07-31
CT RA APPROVED 2020-07-06
  • NY RA
    APPROVED
    Since 2021-04-19
  • TX RA
    APPROVED
    Since 2020-07-31
  • CT RA
    APPROVED
    Since 2020-07-06

Branch Locations

645 Jericho Tpke, New Hyde Park, NY 11040 • United States

20 Jerusalem Ave, Hicksville, NY 11801 • 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
J.P. Morgan Securities Llc Selden NY 04/2015 01/2018
Jp Morgan Chase Bank Selden NY 12/2009 01/2018
Suffolk County Community College Selden NY 08/2007 01/2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated Mineola NY 02/2018 Present
Bank Of America, N.A. Mineola NY 02/2018 Present
  • 04/2015 → 01/2018
    J.P. Morgan Securities Llc
    Selden, NY
  • 12/2009 → 01/2018
    Jp Morgan Chase Bank
    Selden, NY
  • 08/2007 → 01/2018
    Suffolk County Community College
    Selden, NY
  • 02/2018 → Present
    Mineola, NY
  • 02/2018 → Present
    Bank Of America, N.A.
    Mineola, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-07-03
S63 Uniform Securities Agent State Law Examination 2015-09-04
  • S66 Uniform Combined State Law Examination
    2020-07-03
  • S63 Uniform Securities Agent State Law Examination
    2015-09-04
Other Names
  • Jayr J Riascos
  • Jayr Riascos

View on SEC IAPD

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