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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 2025-08-07
MD RA APPROVED 2025-06-26
  • TX RA
    APPROVED
    Since 2025-08-07
  • MD RA
    APPROVED
    Since 2025-06-26

Branch Locations

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

11810 Grand Park Ave, North Bethesda, MD 20852 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated North Bethesda MD 09/2021 Present
Wells Fargo Bank Washington DC 06/2013 08/2021
Other Businesses

I*597234, Entity Type Entity For Profit, Name of OBA: 202 District Holdings LLC Address: Washington DC 20002 Investment Related: No Position, Title, Association: Owner Employee Start Date: 06/21/2021 No Hours: 1 monthly No Hours during trading: 0 Duties: Property owned with my wife. Property used for rental purposes that pay monthly. I*601237, Entity Type Entity For Profit, Name of OBA: 34th Street Holdings LLC Address: ArlingtonVirginia22206 Investment Related: No Position, Title, Association: Owner Employee Start Date: 06/01/2020 No Hours: 1 yearly No Hours during trading: 0 Duties: Property owned with wife and run as a rental property. Wife is the property manager for the property

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-06-26
  • S66 Uniform Combined State Law Examination
    2025-06-26

View on SEC IAPD

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