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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 |
|---|---|---|---|
| IL | RA | APPROVED | 2026-01-23 |
Branch Locations
110 N Wacker Dr, Chicago, IL 60606 • United States
One Bryant Park, New York, NY 10036 • UNITED STATES
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2025-11-17 |
| S63 | Uniform Securities Agent State Law Examination | 2020-09-04 |
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