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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 2021-09-15
WA RA APPROVED 2021-08-26
  • TX RA
    APPROVED
    Since 2021-09-15
  • WA RA
    APPROVED
    Since 2021-08-26

Branch Locations

10400 Ne 4Th St, Bellevue, WA 98004 • United States

500 Broadway Street, Vancouver, WA 98660 • 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 Portland OR 03/2020 Present
Pacific Coast Medical Group Bellevue WA 01/2019 03/2020
Cellutions Vancouver Vancouver WA 03/2018 01/2019
Northwest Pain Relief Center / Cellutions Llc Tacoma WA 06/2018 08/2018
Pacific Coast Medical Group Bellevue WA 11/2017 08/2018
Clark County Realty Battle Ground WA 07/2017 02/2018
Unemployed Battle Ground WA 05/2017 06/2017
Pacific Coast Medical Group Bellevue WA 09/2015 04/2017
  • 03/2020 → Present
    Portland, OR
  • 01/2019 → 03/2020
    Pacific Coast Medical Group
    Bellevue, WA
  • 03/2018 → 01/2019
    Cellutions Vancouver
    Vancouver, WA
  • 06/2018 → 08/2018
    Northwest Pain Relief Center / Cellutions Llc
    Tacoma, WA
  • 11/2017 → 08/2018
    Pacific Coast Medical Group
    Bellevue, WA
  • 07/2017 → 02/2018
    Clark County Realty
    Battle Ground, WA
  • 05/2017 → 06/2017
    Unemployed
    Battle Ground, WA
  • 09/2015 → 04/2017
    Pacific Coast Medical Group
    Bellevue, WA
Other Businesses

I*4536291 Entity Type: Entity For Profit Name of OBA: Keep Them Wild Address: Ridgefield, Washington, 98642 Investment Related: No Position, Title, Association: General Partner/Managing Member Employee Start Date: 06/01/2026 Number of Hours: 2, Weekly Number of Hours during trading: 0, Weekly Duties: Online retail Designing clothing

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-08-25
  • S66 Uniform Combined State Law Examination
    2021-08-25

View on SEC IAPD

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