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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2024-12-05 |
| TX | RA | APPROVED_RES | 2021-01-09 |
| CT | RA | APPROVED | 2018-11-02 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Poughkeepsie | NY | 08/2018 | Present |
| Monte's Local Kitchen And Tap Room | Amenia | NY | 06/2018 | 08/2018 |
| Southern Connecticut State University | New Haven | CT | 08/2014 | 05/2018 |
| Oronoque Country Club | Stratford | CT | 04/2016 | 06/2018 |
| New Haven Lawn Club | New Haven | CT | 04/2018 | 05/2018 |
| Silo Ridge Field Club | Amenia | NY | 05/2017 | 08/2017 |
| Bank Of America, N.A. | Poughkeepsie | NY | 09/2018 | Present |
I*951397, Name of OBA: Rental Property 2 Address: Fishkill, NY Investment Related: No Position, Title, Association: Co-owner with other family members Employee Start Date: 8/9/2022 No Hours: 1 Monthly No Hours during trading: 0 Duties:
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-11-01 |
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