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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2019-07-29 |
| PA | RA | APPROVED | 2018-09-17 |
| TX | RA | APPROVED_RES | 2018-09-17 |
Branch Locations
2049 Century Park E Pbig - Century City, Los Angeles, CA 90067 • United States
600 Grant St, Pittsburgh, PA 15219 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Oppenheimer & Co. Inc. | Sewickley | PA | 08/2015 | 09/2018 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Pittsburgh | PA | 09/2018 | Present |
| Bank Of America, N.A. | Pittsburgh | PA | 11/2018 | Present |
I*1225307 For profit or not for profit: Entity For Profit Name of outside business organization: ALPHA Capital Enterprises Investment related: N Address of business: Vencie, California, 90291 Nature of business: ["Limited Liability Company"] Position, title, association: ["Owner"], Start date of relationship: 3/21/2023 Number of hours devoted: 0 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: , LLC for household staff for solely my wife and I. Also could own an automobile. No operating business and a completely passive non participant role for myself.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-11-06 |
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