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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 2026-01-16
  • TX RA
    APPROVED
    Since 2026-01-16

Branch Locations

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

1 Cowboys Way, Frisco, TX 75034 • 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
Fidelity Investments Westlake TX 01/2024 09/2025
Denton Antique Gallery Denton TX 09/2022 12/2023
Amazon Seattle WA 05/2022 08/2022
University Of North Texas Denton TX 11/2021 05/2022
Spectrum Financial Group Dallas TX 06/2021 08/2021
Walgreens Denton TX 12/2020 05/2021
University Of North Texas Denton TX 01/2021 04/2021
Buffalo Valley Event Center Denton TX 04/2018 07/2019
Mcdonalds Denton TX 01/2018 04/2018
Mcdonalds Denton TX 02/2017 07/2017
University Of North Texas Denton TX 08/2019 12/2022
Krum High School Krum TX 01/2014 05/2019
Denton Antique Gallery Denton TX 02/2022 01/2024
Merrill Lynch, Pierce, Fenner & Smith Incorporated Frisco TX 10/2025 Present
  • 01/2024 → 09/2025
    Fidelity Investments
    Westlake, TX
  • 09/2022 → 12/2023
    Denton Antique Gallery
    Denton, TX
  • 05/2022 → 08/2022
    Amazon
    Seattle, WA
  • 11/2021 → 05/2022
    University Of North Texas
    Denton, TX
  • 06/2021 → 08/2021
    Spectrum Financial Group
    Dallas, TX
  • 12/2020 → 05/2021
    Walgreens
    Denton, TX
  • 01/2021 → 04/2021
    University Of North Texas
    Denton, TX
  • 04/2018 → 07/2019
    Buffalo Valley Event Center
    Denton, TX
  • 01/2018 → 04/2018
    Mcdonalds
    Denton, TX
  • 02/2017 → 07/2017
    Mcdonalds
    Denton, TX
  • 08/2019 → 12/2022
    University Of North Texas
    Denton, TX
  • 01/2014 → 05/2019
    Krum High School
    Krum, TX
  • 02/2022 → 01/2024
    Denton Antique Gallery
    Denton, TX
  • 10/2025 → Present
    Frisco, TX
Other Businesses

I*2990268 Entity Type: Entity For Profit Name of OBA: Daily Finds Address: Denton, Texas, 76207 Investment Related: No Position, Title, Association: Employee Employee Start Date: 02/01/2022 Number of Hours: 10, Monthly Number of Hours during trading: 0, Monthly Duties: Buying, Trading, Selling Antiques Buy and Sell Antiques on weekends

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2026-01-16
S63 Uniform Securities Agent State Law Examination 2024-04-25
  • S66 Uniform Combined State Law Examination
    2026-01-16
  • S63 Uniform Securities Agent State Law Examination
    2024-04-25
Other Names
  • Hannah Maureen Daily
  • Hannah Daily

View on SEC IAPD

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