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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 2025-08-22
GA RA APPROVED 2025-08-01
  • TX RA
    APPROVED
    Since 2025-08-22
  • GA RA
    APPROVED
    Since 2025-08-01

Branch Locations

2170 Satellite Blvd, Duluth, GA 30097 • 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
E*Trade Securities Llc Alpharetta GA 11/2020 10/2023
Kennesaw State University Kennesaw GA 08/2015 12/2020
Doordash Atlanta GA 07/2020 11/2020
Jets Pizza Kennesaw GA 05/2017 07/2020
Morgan Stanley Alpharetta GA 01/2023 10/2023
Pruco Securities Llc Atlanta GA 11/2023 11/2024
The Prudential Insurance Company Of America Atlanta GA 05/2024 11/2024
Merrill Lynch, Pierce, Fenner & Smith Incorporated Duluth GA 07/2025 Present
Unemployed Duluth GA 12/2024 06/2025
Bank Of America, N.A. Duluth GA 08/2025 Present
  • 11/2020 → 10/2023
    E*Trade Securities Llc
    Alpharetta, GA
  • 08/2015 → 12/2020
    Kennesaw State University
    Kennesaw, GA
  • 07/2020 → 11/2020
    Doordash
    Atlanta, GA
  • 05/2017 → 07/2020
    Jets Pizza
    Kennesaw, GA
  • 01/2023 → 10/2023
    Morgan Stanley
    Alpharetta, GA
  • 11/2023 → 11/2024
    Atlanta, GA
  • 05/2024 → 11/2024
    The Prudential Insurance Company Of America
    Atlanta, GA
  • 07/2025 → Present
    Duluth, GA
  • 12/2024 → 06/2025
    Unemployed
    Duluth, GA
  • 08/2025 → Present
    Bank Of America, N.A.
    Duluth, GA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-03-13
S63 Uniform Securities Agent State Law Examination 2021-06-14
  • S66 Uniform Combined State Law Examination
    2024-03-13
  • S63 Uniform Securities Agent State Law Examination
    2021-06-14
Other Names
  • Cornelius J Clark
  • Cornelius Jonmichael Clark
  • C Jonmichael Clak

View on SEC IAPD

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