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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 |
| FL | RA | APPROVED | 2021-01-11 |
| NJ | RA | APPROVED | 2020-11-09 |
| CT | RA | APPROVED | 2016-11-11 |
Branch Locations
300 Broadhollow Rd, Melville, NY 11747 • United States
One Bryant Park, 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 | 05/2007 | Present |
| Bank Of America,N.A. | New York | NY | 06/2011 | Present |
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.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-11-10 |
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