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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2026-01-09 |
Branch Locations
560 S Winchester Blvd, San Jose, CA 95128 • United States
301 Tresser Blvd Office Of Cao - Awl Local Markets Organization, Stamford, CT 06901 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Jose | CA | 01/2001 | Present |
I*: 2886274 Entity Type: Fiuciary role Name of OBA: M. A M. TTEE A. P. M. TTEE U/A DTD 06/30/2021 Address: San Jose, CA 95138 Investment Related: No Position, Title, Association: Co-Trustee Employee Start Date: 9/17/2025 Number of Hours: 1 hr annually Number of Hours during trading: 0 Duties: Co-Trustee/Self, Spouse
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2026-01-09 |
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