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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 | 2020-06-15 |
| CA | RA | APPROVED | 2020-05-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bank Of America/Merrill | South Pasadena | CA | 02/2020 | Present |
| Shoujun Asset Management Limited | Shenzhen | 10/2014 | 07/2017 | |
| Bank Of America | Duarte | CA | 09/2017 | 02/2020 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-05-13 |
| S63 | Uniform Securities Agent State Law Examination | 2004-12-29 |
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