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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
IL RA APPROVED 2026-04-20
  • IL RA
    APPROVED
    Since 2026-04-20

Branch Locations

110 N Wacker Dr, Chicago, IL 60606 • United States

One Bryant Park, New York, NY 10036 • 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
Morgan Stanley Orland Park IL 09/2018 05/2025
University Of Illinois At Chicago Chicago IL 01/2017 09/2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated Chicago IL 04/2026 Present
Olivet Nazarene University Oak Lawn IL 02/2023 06/2024
University Of Illinois Chicago IL 01/2015 05/2018
Unemployed Oak Lawn IL 10/2018 01/2023
Unemployed Oak Lawn IL 06/2025 03/2026
  • 09/2018 → 05/2025
    Orland Park, IL
  • 01/2017 → 09/2018
    University Of Illinois At Chicago
    Chicago, IL
  • 04/2026 → Present
    Chicago, IL
  • 02/2023 → 06/2024
    Olivet Nazarene University
    Oak Lawn, IL
  • 01/2015 → 05/2018
    University Of Illinois
    Chicago, IL
  • 10/2018 → 01/2023
    Unemployed
    Oak Lawn, IL
  • 06/2025 → 03/2026
    Unemployed
    Oak Lawn, IL
Previous Registrations
  • 2019-11-08 → 2025-06-10
    Oak Brook, IL
    Lisle, IL
    Orland Park, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-11-08
  • S66 Uniform Combined State Law Examination
    2019-11-08

View on SEC IAPD

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