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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 | 2019-07-18 |
| RI | RA | APPROVED | 2009-10-23 |
Branch Locations
East Greenwich, RI • United States
1381 Weston Rd Global Human Resources- The Academy, Weston, FL 33326 • United States
3400 Pawtucket Ave Global Human Resources- The Academy, Riverside, RI 02915 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Waltham | MA | 10/2009 | Present |
I*1392278For profit or not for profit: Entity For ProfitName of outside business organization: CCs Sports Cards LLCInvestment related: NAddress of business: East Greenwich, Rhode Island, 02818, United StatesNature of business: ["Limited Liability Company"]Position, title, association: ["Consultant/Independent Contractor"], Start date of relationship: 7/30/2023Number of hours devoted: 20 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: , Sports card collectable box openings on social media platform. I*2521280, Entity Type: Entity Charitable, Name of OBA: West Bay Christian Academy, Address: North Kingstown, Rhode Island, 02852, Investment Related: N, Position, Title, Association: Board Member, Employee State Date: 07/16/2025, No Hours: 3 Monthly, No Hours during Trading: 0 Monthly, Duties: Christian School Board of Trustees position. Assist in making strategic and long term decisions to grow the school. Provide input on policies and make decisions on board matters.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-01-10 |
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