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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 2019-07-18
RI RA APPROVED 2009-10-23
  • TX RA
    APPROVED
    Since 2019-07-18
  • RI RA
    APPROVED
    Since 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

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 Waltham MA 10/2009 Present
Previous Registrations
  • 2006-04-13 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Lincoln, RI
Other Businesses

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.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-01-10
  • S66 Uniform Combined State Law Examination
    2006-01-10

View on SEC IAPD

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