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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 2005-06-13
  • TX RA
    APPROVED
    Since 2005-06-13

Branch Locations

2510 Marsha Sharp Fwy, Lubbock, TX 79415 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Lubbock TX 02/2005 Present
Bank Of America, N.A. Lubbock TX 12/2009 Present
Other Businesses

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.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-06-11
  • S66 Uniform Combined State Law Examination
    2005-06-11

View on SEC IAPD

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