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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 2020-07-20
VA RA APPROVED 2020-07-20
  • TX RA
    APPROVED
    Since 2020-07-20
  • VA RA
    APPROVED
    Since 2020-07-20

Branch Locations

3907 Fair Ridge Dr, Fairfax, VA 22033 • United States

8300 Greensboro Dr, Mclean, VA 22102 • 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 Oakton VA 03/2020 Present
Bank Of America, N.A. Oakton VA 03/2020 Present
Fedex Office Sterling VA 11/2017 12/2019
Global Deal Interiors Amman 08/2013 06/2017
Unemployed Sterling VA 06/2017 11/2017
  • 03/2020 → Present
    Oakton, VA
  • 03/2020 → Present
    Bank Of America, N.A.
    Oakton, VA
  • 11/2017 → 12/2019
    Fedex Office
    Sterling, VA
  • 08/2013 → 06/2017
    Global Deal Interiors
    Amman
  • 06/2017 → 11/2017
    Unemployed
    Sterling, VA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-07-17
  • S66 Uniform Combined State Law Examination
    2020-07-17

View on SEC IAPD

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