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CRD 6558663
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 |
|---|---|---|---|
| HI | RA | APPROVED | 2024-11-04 |
| TX | RA | APPROVED | 2024-08-19 |
| CA | RA | APPROVED | 2024-08-08 |
Branch Locations
700 Main St, Napa, CA 94559 • United States
560 S Winchester Blvd, San Jose, CA 95128 • United States
400 Route 8, Hagatna 96910 • Guam
1003 Bishop St, Honolulu, HI 96813 • United States
1437 Kilauea Ave, Hilo, HI 96720 • United States
50 W San Fernando St, San Jose, CA 95113 • United States
78-6831 Alii Dr, Kailua Kona, HI 96740 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors, Llc | San Jose | CA | 05/2014 | 01/2018 |
| Ubs Financial Services Inc. | Menlo Park | CA | 01/2018 | 03/2020 |
| Morgan Stanley | Menlo Park | CA | 04/2020 | 09/2022 |
| J.P. Morgan Securities Llc | San Francisco | CA | 09/2022 | 07/2023 |
| Ubs Financial Services Inc | San Francisco | CA | 10/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-09-28 |
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