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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 | 2020-09-18 |
Branch Locations
800 N Shoreline Blvd, Corpus Christi, TX 78401 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Edward Jones | St Louis | MO | 05/2016 | 09/2020 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Corpus Christi | TX | 09/2020 | Present |
| Bank Of America, N.A. | Corpus Christi | TX | 09/2020 | Present |
I*133518 For profit or not for profit: For-Profit Organization Name of outside business organization: KHDS Partners, LLC Investment related: Y Address of business: Portland, Texas 78374 Nature of business: LLC, Position, title, association: Other, Member of the LLC and not involved in daily ops Start date of relationship: 3/18/2016 Number of hours devoted: 0 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: This entity has an E*TRADE account and it buys and sells stocks, options, etc. It is managed by other members of the LLC. I am not involved in the daily activity of the LLC. This is a passive investment. I*133525 For profit or not for profit: For-Profit Organization Name of outside business organization: South Coast Angel Network Investment related: N Address of business: Corpus Christi, Texas 78418 Nature of business: Other,Membership Organization Position, title, association: Other, Member of Organization Start date of relationship: 2/14/2017 Number of hours devoted: 0 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: This is an angel investor network. There are investment pitches made by startup companies. There is a Q&A and due diligence process, then one can decide to make an investment or not. South Coast Angel Network forms partnerships for each investment. I*133512 For profit or not for profit: For-Profit Organization Name of outside business organization: Coastal Hotelier, Inc Investment related: N Address of business: Corpus Christi, Texas 78408 Nature of business: S-Corp, Position, title, association: Officer, Start date of relationship: 9/1/1994 Number of hours devoted: 0 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: This was once a hotel, but it got sold in January 2008. Since then, the only asset this entity owns is some vacant land in Corpus Christi, TX for a possible future real estate development or the land may be sold to a buyer. I*133511 For profit or not for profit: For-Profit Organization Name of outside business organization: Navigation Hotelier, Inc. Investment related: N Address of business: Corpus Christi, Texas 78408 Nature of business: S-Corp Position, title, association: Officer, Start date of relationship: 1/5/2008 Number of hours devoted: 0 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: This is a hotel. The entity that owns it is Navigation Hotelier, Inc. and I am an officer (shareholder). I am not involved in the daily operations, it is a passive investment. I*2131278, Entity Type: Fiduciary, Name of OBA: A B, Address: Portland, Texas, 78374, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 17-Dec-2024, No Hours: 1 Yearly, No Hours during Trading: 1 Yearly, Duties: I*2131277, Entity Type: Fiduciary, Name of OBA: T B, Address: Portland, Texas, 78374, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 17-Dec-2024, No Hours: 1 Yearly, No Hours during Trading: 1 Yearly, Duties:
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-07-19 |
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