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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 | 2025-01-02 |
| NC | RA | APPROVED | 2024-10-25 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Vanguard Group, Inc. | Charlotte | NC | 10/2021 | 02/2024 |
| Graybeal Construction & Design | North Augusta | SC | 08/2015 | 10/2021 |
| Duraclean Systems Of North Augusta | North Augusta | SC | 06/2017 | 09/2017 |
| University Of South Carolina | Columbia | SC | 08/2018 | 05/2021 |
| University Of South Carolina - Aiken | Aiken | SC | 08/2016 | 07/2018 |
| Keller Williams Augusta Partners | Augusta | GA | 07/2017 | 11/2017 |
| University Of South Carolina | Columbia | NC | 01/2021 | 05/2021 |
| Linden Thomas And Company Securities, Llc | Charlotte | NC | 02/2024 | 09/2024 |
| Linden Thomas Advisory Services | Charlotte | NC | 08/2024 | 09/2024 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Charlotte | NC | 09/2024 | Present |
| Bank Of America, N.A. | Charlotte | NC | 10/2024 | Present |
I*2148261, Entity Type: Fiduciary, Name of OBA: J S, J R. S's Trust, Address: North Augusta, South Carolina, 29841, Investment Related: N, Position, Title, Association: Executor, Power of Attorney, Successor Trustee , Employee Start Date: 15-Aug-2024, No Hours: 1 Yearly, No Hours during Trading: 0 Yearly, Duties:
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-11-16 |
| S63 | Uniform Securities Agent State Law Examination | 2021-12-17 |
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