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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
IL RA APPROVED 2026-01-23
  • IL RA
    APPROVED
    Since 2026-01-23

Branch Locations

110 N Wacker Dr, Chicago, IL 60606 • United States

One Bryant Park, New York, NY 10036 • 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
Hsbc Securities (Usa) Inc. Arlington Heights IL 07/2020 06/2022
Hsbc Bank Usa, N.A. Arlington Heights IL 07/2020 06/2022
Mufg Union Bank N.A. Glendale Heights IL 01/2017 03/2020
Smart Trans Logistics, Inc. Willowbrook IL 09/2013 01/2017
Unemployed Chicago IL 03/2020 07/2020
Merrill Lynch, Pierce, Fenner & Smith Incorporated Chicago IL 06/2022 Present
  • 07/2020 → 06/2022
    Hsbc Securities (Usa) Inc.
    Arlington Heights, IL
  • 07/2020 → 06/2022
    Hsbc Bank Usa, N.A.
    Arlington Heights, IL
  • 01/2017 → 03/2020
    Mufg Union Bank N.A.
    Glendale Heights, IL
  • 09/2013 → 01/2017
    Smart Trans Logistics, Inc.
    Willowbrook, IL
  • 03/2020 → 07/2020
    Unemployed
    Chicago, IL
  • 06/2022 → Present
    Chicago, IL
Other Businesses

I*1652286 Entity Type: Entity For Profit Name of OBA: River West Chi, INC Address: Chicago, Illinois, 60611 Investment Related: No Position, Title, Association: Officer,Owner Employee Start Date: 01/05/2024 Number of Hours: 5, Weekly Number of Hours during trading: 0, Weekly Duties: Transportation Equipment Ownership and Consulting Own transportation equipment that will be contracted with transportation company

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-11-17
S63 Uniform Securities Agent State Law Examination 2020-09-04
  • S66 Uniform Combined State Law Examination
    2025-11-17
  • S63 Uniform Securities Agent State Law Examination
    2020-09-04

View on SEC IAPD

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