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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_RES | 2024-12-01 |
| IL | RA | APPROVED | 2024-11-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| E*Trade Securities Llc | Chicago | IL | 06/2021 | 07/2022 |
| Ameriprise Financial | Downers Grove | IL | 07/2020 | 08/2020 |
| Springbrook Golf Course / Naperville Park District | Naperville | IL | 05/2018 | 08/2020 |
| Clearwater Pools | Naperville | IL | 05/2016 | 08/2018 |
| Buikema's Ace Hardware | Naperville | IL | 06/2015 | 06/2017 |
| Unemployed | Naperville | IL | 08/2020 | 06/2021 |
| Lakeshore Financial Group | Chicago | IL | 08/2022 | 10/2024 |
| Equity Services Inc | Montpelier | VT | 08/2022 | 10/2024 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Chicago | IL | 10/2024 | Present |
| B & R Sporting Goods Inc | Naperville | IL | 12/2017 | 04/2018 |
| Bank Of America, N.A | Chicago | IL | 11/2024 | Present |
I*5347280 Entity Type: Entity For Profit Name of OBA: Naperville Sabres Hockey Association Address: Naperville, Illinois, 60563 Investment Related: No Position, Title, Association: Other Employee Start Date: 08/31/2026 Number of Hours: 4, Weekly Number of Hours during trading: 0, Weekly Duties: Youth Hockey Organization Assistant Coach
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-11-28 |
| S63 | Uniform Securities Agent State Law Examination | 2021-10-08 |
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