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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 2025-01-02
NC RA APPROVED 2024-10-25
  • TX RA
    APPROVED
    Since 2025-01-02
  • NC RA
    APPROVED
    Since 2024-10-25

Branch Locations

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

6000 Fairview Rd, Charlotte, NC 28210 • 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
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
  • 10/2021 → 02/2024
    The Vanguard Group, Inc.
    Charlotte, NC
  • 08/2015 → 10/2021
    Graybeal Construction & Design
    North Augusta, SC
  • 06/2017 → 09/2017
    Duraclean Systems Of North Augusta
    North Augusta, SC
  • 08/2018 → 05/2021
    University Of South Carolina
    Columbia, SC
  • 08/2016 → 07/2018
    University Of South Carolina - Aiken
    Aiken, SC
  • 07/2017 → 11/2017
    Keller Williams Augusta Partners
    Augusta, GA
  • 01/2021 → 05/2021
    University Of South Carolina
    Columbia, NC
  • 02/2024 → 09/2024
    Linden Thomas And Company Securities, Llc
    Charlotte, NC
  • 08/2024 → 09/2024
    Linden Thomas Advisory Services
    Charlotte, NC
  • 09/2024 → Present
    Charlotte, NC
  • 10/2024 → Present
    Bank Of America, N.A.
    Charlotte, NC
Previous Registrations
Other Businesses

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:

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-11-16
S63 Uniform Securities Agent State Law Examination 2021-12-17
  • S65 Uniform Investment Adviser Law Examination
    2024-11-16
  • S63 Uniform Securities Agent State Law Examination
    2021-12-17
Designations
  • Certified Financial Planner
Other Names
  • Hunter Satcher

View on SEC IAPD

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