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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 | 2024-05-15 |
| CA | RA | APPROVED | 2024-05-01 |
Branch Locations
2049 Century Park E Pbig - Century City, Los Angeles, CA 90067 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jpmorgan Chase Bank Na | Los Angeles | CA | 08/2020 | 07/2023 |
| Jpmorgan Securities Llc | Los Angeles | CA | 08/2020 | 07/2023 |
| Jpmorgan Chase Bank Na | New York | NY | 01/2017 | 08/2020 |
| Schneider Downs | Columbus | OH | 10/2015 | 12/2016 |
| Bank Of America, N.A. | Los Angeles | CA | 05/2024 | Present |
| Unemployed | Los Angeles | CA | 08/2023 | 03/2024 |
| Merrill Lynch, Pierce, Fenner & Smith Inc | Los Angeles | CA | 04/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-03-08 |
| S63 | Uniform Securities Agent State Law Examination | 2019-12-23 |
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