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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_RES | 2024-01-12 |
| NY | RA | APPROVED | 2023-04-17 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hsbc Bank Usa, N.A. | New York | NY | 07/2015 | 10/2018 |
| Hsbc Securities (Usa) Inc. | New York | NY | 06/2016 | 10/2018 |
| Hsbc Securities (Usa) Inc. | New York | NY | 10/2018 | 04/2023 |
| Hsbc Bank Usa, N.A. | New York | NY | 10/2018 | 04/2023 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 04/2023 | Present |
| Bank Of America, N.A. | New York | NY | 04/2023 | Present |
I* 2114269, Entity Type: Non-Profit Name of OBA: YMBA Address: New York, New York, 10019, United States Investment Related: No Position, Title, Association: Board Member Employee Start Date: 11/18/2024. No Hours: 2 hrs. weekly No Hours during trading: 0 Duties: I will be part of the membership committee. Working to grow the group with new and existing members. The purpose is networking with other young real estate professionals.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-03-06 |
| S63 | Uniform Securities Agent State Law Examination | 2016-01-07 |
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