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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 2021-06-10
CA RA APPROVED 2021-06-04
  • TX RA
    APPROVED
    Since 2021-06-10
  • CA RA
    APPROVED
    Since 2021-06-04

Branch Locations

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

555 Capitol Mall, Sacramento, CA 95814 • 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 Sacramento CA 02/2019 Present
Pimco Newport Beach CA 06/2020 08/2020
Northrop Grumman Redondo Beach CA 05/2019 08/2019
Demers Enterprises, Inc Lake Forest CA 10/2016 08/2018
United States Army Fort Polk CA 09/2012 10/2016
Merrill Lynch, Pierce, Fenner & Smith Incorporated Sacramento CA 05/2018 08/2018
University Of Southern California Los Angeles CA 08/2018 12/2020
Bank Of America, N.A. Sacramento CA 12/2021 Present
  • 02/2019 → Present
    Sacramento, CA
  • 06/2020 → 08/2020
    Pimco
    Newport Beach, CA
  • 05/2019 → 08/2019
    Northrop Grumman
    Redondo Beach, CA
  • 10/2016 → 08/2018
    Demers Enterprises, Inc
    Lake Forest, CA
  • 09/2012 → 10/2016
    United States Army
    Fort Polk, CA
  • 05/2018 → 08/2018
    Sacramento, CA
  • 08/2018 → 12/2020
    University Of Southern California
    Los Angeles, CA
  • 12/2021 → Present
    Bank Of America, N.A.
    Sacramento, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-06-03
  • S66 Uniform Combined State Law Examination
    2021-06-03
Other Names
  • Gage Demers

View on SEC IAPD

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