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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
TX RA APPROVED 2024-01-31
CA RA APPROVED 2023-07-10
  • TX RA
    APPROVED
    Since 2024-01-31
  • CA RA
    APPROVED
    Since 2023-07-10

Branch Locations

One Bryant Park, New York, NY 10036 • UNITED STATES

2 S Beaver St, Flagstaff, AZ 86001 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Flagstaff AZ 11/2020 Present
Forest Highlands Golf Club Flagstaff AZ 09/2020 11/2020
University Of Arizona Flagstaff AZ 08/2021 Present
Northland Preparatory Academy Flagstaff AZ 08/2017 05/2021
Unemployed Flagstaff AZ 12/2012 08/2017
Bank Of America, N.A. Flagstaff AZ 06/2025 Present
  • 11/2020 → Present
    Flagstaff, AZ
  • 09/2020 → 11/2020
    Forest Highlands Golf Club
    Flagstaff, AZ
  • 08/2021 → Present
    University Of Arizona
    Flagstaff, AZ
  • 08/2017 → 05/2021
    Northland Preparatory Academy
    Flagstaff, AZ
  • 12/2012 → 08/2017
    Unemployed
    Flagstaff, AZ
  • 06/2025 → Present
    Bank Of America, N.A.
    Flagstaff, AZ
Other Businesses

I*2738296, Entity Type: , Name of OBA: L & B M LIV TR, Address: Peoria, Arizona, 85383, Investment Related: N, Position, Title, Association: Successor Trustee, Employee State Date: 08/13/2025, No Hours: 2 Yearly, No Hours during Trading: 0 Yearly, Duties: I*2739299, Entity Type: , Name of OBA: B M, Address: Peoria, Arizona, 85383, Investment Related: N, Position, Title, Association: Executor, Employee State Date: 08/13/2025, No Hours: 1 Yearly, No Hours during Trading: 0 Yearly, Duties: I*2739300, Entity Type: , Name of OBA: L M, Address: Peoria, Arizona, 85383, Investment Related: N, Position, Title, Association: Executor, Employee State Date: 08/13/2025, No Hours: 1 Yearly, No Hours during Trading: 0 Yearly, Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-07-08
  • S66 Uniform Combined State Law Examination
    2023-07-08

View on SEC IAPD

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