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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_RES 2026-04-28
FL RA APPROVED 2023-07-05
  • TX RA
    APPROVED_RES
    Since 2026-04-28
  • FL RA
    APPROVED
    Since 2023-07-05

Branch Locations

355 Alhambra Cir, Coral Gables, FL 33134 • 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
At&T Miami FL 03/2016 05/2018
Jpmorgan Chase Bank, N.A. Miami FL 04/2018 06/2023
Fiu Miami FL 01/2016 04/2018
J.P. Morgan Securities Llc Miami FL 09/2018 06/2023
Merrill Lynch, Pierce, Fenner & Smith Incorporated Coral Gables FL 06/2023 Present
Cwa Local 3122 Miami FL 08/2016 04/2018
Bank Of America, N.A. Coral Gables FL 08/2023 Present
Previous Registrations
Other Businesses

ACTIVITY TYPE: 1 - OUTSIDE BUSINESS ACTIVITY OR PRIVATE INVESTMENT WITH A NON-PUBLIC ENTITY NAME OF ENTITY: (SELF) POSITION: OWNER / LANDLORD - RENTAL PROPERTY START DATE: 1/1/2020 ADDRESS: 100 miami florida DETAILS: 100 MIAMI FLORIDA. INVESTMENT RELATED: YES HOURS DEDICATED (per month unless otherwise indicated): 5 HOURS DURING TRADING: 1 I*1381312 For profit or not for profit: Name of outside business organization: Rental Property 1 Investment related: Y Address of business: miami, Florida, 33134, United States Nature of business: Position, title, association: Sole owner, Start date of relationship: 9/1/2019 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 1 Duties: ,

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-12-31
  • S66 Uniform Combined State Law Examination
    2018-12-31

View on SEC IAPD

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