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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 | 2005-06-13 |
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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Lubbock | TX | 02/2005 | Present |
| Bank Of America, N.A. | Lubbock | TX | 12/2009 | Present |
I*88201FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: PARLAY PROPERTIES LLCINVESTMENT RELATED: YADDRESS OF BUSINESS:LUBBOCK, TEXAS 79424NATURE OF BUSINESS: LLC,POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 11/13/2015NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: THIS ENTITY EXISTS TO BUY, SELL, AND HOLD REAL ESTATE PROPERTIES. IN ORDER TO LIMIT PERSONAL LIABILITY, THE PROPERTIES ARE PURCHASED IN THE ENTITY NAME. I*986328For profit or not for profit: Entity CharitableName of outside business organization: DIOSCEAN FINANCE COUNCILInvestment related: NAddress of business: LUBBOCK, Texas, 79416Nature of business: ["Charitable Organization"]Position, title, association: ["Committee"], [["Finance committee"]]Start date of relationship: 10/7/2022Number of hours devoted: 24 hour(s) YearlyNumber of hours devoted during trading hours: 0Duties: , Oversee the financial matters of the Lubbock area Diocese I*2009293, Entity Type, Name of OBA: Lubbock Country Club Address: Lubbock Texas 79403 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 10/15/2024No Hours: 6 Monthly No Hours during trading: 0 Duties: Monthly Board Meetings to discuss the general health and on-goings of the Club. We will review the financial status of the Club, and utilize parliamentary process for any proceedings/activities of the Club.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-06-11 |
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