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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 | 2022-12-06 |
| WA | RA | APPROVED | 2022-11-08 |
Branch Locations
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, N.A. | Spokane | WA | 01/2018 | 05/2022 |
| J.P. Morgan Securities Llc | Spokane | WA | 10/2020 | 05/2022 |
| Walmart | Colville | WA | 08/2015 | 01/2018 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Spokane | WA | 05/2022 | Present |
| Bank Of America, N.A. | Spokane | WA | 09/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-11-05 |
| S63 | Uniform Securities Agent State Law Examination | 2021-01-22 |
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