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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2021-04-19 |
| CT | RA | APPROVED | 2017-04-12 |
Branch Locations
One Bryant Park Gwim Chief Investment Office (Cio), New York, NY 10036 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 03/2005 | Present |
I*113424 For profit or not for profit: For-Profit Organization Name of outside business organization: Uber Technologies, Inc. Investment related: N Address of business: San Francisco, California 94103 Nature of business: Corporation, Compensation for Activity: Y Position, title, association: Other, Driver Start date of relationship: 4/8/2018 Number of hours devoted: 1000 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: Using Uber ride sharing/hailing app to pick up passengers.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-04-11 |
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