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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
TX RA APPROVED_RES 2024-02-01
FL RA APPROVED 2017-11-06
  • TX RA
    APPROVED_RES
    Since 2024-02-01
  • FL RA
    APPROVED
    Since 2017-11-06

Branch Locations

100 Federal St Merrill Edge - Consumer Banking, Boston, MA 02110 • United States

1381 Weston Rd Global Human Resources- The Academy, Weston, FL 33326 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Weston FL 10/2004 Present
Other Businesses

I*90443 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: URBAN LEAGUE OF PALM BEACH COUNTY INVESTMENT RELATED: N ADDRESS OF BUSINESS: WEST PALM BEACH, FLORIDA 33407 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 9/1/2015 NUMBER OF HOURS DEVOTED: 3 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 1 DUTIES: BOARD CHAIR. RESPONSIBLE FOR LEADING THE EXECUTIVE COMMITTEE AND BOARD OF DIRECTORS. I*1074392 For profit or not for profit: Entity For Profit Name of outside business organization: PSC Management, inc. Investment related: N Address of business: Pembroke Pines, Florida, 33028 Nature of business: ["S Corporation"] Position, title, association: ["Officer"], Start date of relationship: 11/16/2022 Number of hours devoted: 4 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , Photographer and sale of prints through website, BernardHampton.com I*1077269 For profit or not for profit: Entity For Profit Name of outside business organization: PSC Management, inc. Investment related: N Address of business: Pembroke Pines, Florida Nature of business: ["S Corporation"] Position, title, association: ["Officer"], Start date of relationship: 11/18/2022 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , Ownership of a rental property for use as a VRBO rental

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-10-04
  • S66 Uniform Combined State Law Examination
    2017-10-04
Other Names
  • Bernard F Hampton
  • Bernard Hampton
  • F Bernard Hampton
  • Bernard Hampton

View on SEC IAPD

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