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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 2023-01-23
GA RA APPROVED 2022-11-14
  • TX RA
    APPROVED
    Since 2023-01-23
  • GA RA
    APPROVED
    Since 2022-11-14

Branch Locations

Roswell, GA • United States

3455 Peachtree Rd Ne, Atlanta, GA 30326 • 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 Conyers GA 07/2022 Present
Alabama Air National Guard Montgomery AL 03/2018 03/2024
Puccini's Smiling Teeth Lexington KY 02/2016 02/2017
Simpson Optical Lexington KY 12/2021 06/2022
Tuscaloosa Eye Care Tuscaloosa AL 02/2020 03/2021
Usiol Lexington KY 02/2017 08/2017
University Of Alabama Tuscaloosa AL 08/2017 12/2021
Bank Of America Atlanta GA 06/2021 08/2021
Men's Warehouse Tuscaloosa AL 08/2021 11/2021
Bank Of America, N.A. Conyers GA 01/2023 Present
  • 07/2022 → Present
    Conyers, GA
  • 03/2018 → 03/2024
    Alabama Air National Guard
    Montgomery, AL
  • 02/2016 → 02/2017
    Puccini's Smiling Teeth
    Lexington, KY
  • 12/2021 → 06/2022
    Simpson Optical
    Lexington, KY
  • 02/2020 → 03/2021
    Tuscaloosa Eye Care
    Tuscaloosa, AL
  • 02/2017 → 08/2017
    Usiol
    Lexington, KY
  • 08/2017 → 12/2021
    University Of Alabama
    Tuscaloosa, AL
  • 06/2021 → 08/2021
    Bank Of America
    Atlanta, GA
  • 08/2021 → 11/2021
    Men's Warehouse
    Tuscaloosa, AL
  • 01/2023 → Present
    Bank Of America, N.A.
    Conyers, GA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-11-09
  • S66 Uniform Combined State Law Examination
    2022-11-09
Other Names
  • Noah B Murphy

View on SEC IAPD

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