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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
NY RA APPROVED 2021-04-19
FL RA APPROVED 2021-01-11
NJ RA APPROVED 2020-11-09
CT RA APPROVED 2016-11-11
  • NY RA
    APPROVED
    Since 2021-04-19
  • FL RA
    APPROVED
    Since 2021-01-11
  • NJ RA
    APPROVED
    Since 2020-11-09
  • CT RA
    APPROVED
    Since 2016-11-11

Branch Locations

300 Broadhollow Rd, Melville, NY 11747 • United States

One Bryant Park, New York, NY 10036 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • 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 New York NY 05/2007 Present
Bank Of America,N.A. New York NY 06/2011 Present
Other Businesses

I*3681284 Entity Type: N/A Name of OBA: Oakland Arms Condominium Board Address: Ft Lauderdale, Florida, 33306 Investment Related: No Position, Title, Association: Officer Employee Start Date: 02/02/2026 Number of Hours: 4, Monthly Number of Hours during trading: 0, Monthly Duties: Oversee the affairs of a 12 unit condo building Serve as Vice President of the board to attend meetings, make decisions and provide oversight related to the operation of our condo for items such as maintenance, repairs, service providers, rules, and projects. This role is carried out in conjunction with several other board members and a management company.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-11-10
  • S66 Uniform Combined State Law Examination
    2016-11-10
Other Names
  • John J Hill
  • John Jordan Hill

View on SEC IAPD

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