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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 |
|---|---|---|---|
| TX | RA | APPROVED | 2024-03-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup | Houston | TX | 04/2019 | 11/2019 |
| Gluck Holdings | Houston | TX | 01/2019 | 03/2019 |
| Unemployed | Houston | TX | 08/2016 | 12/2018 |
| Citigroup | Houston | TX | 01/2020 | 12/2023 |
| Unemployed | Houston | TX | 11/2019 | 02/2020 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Houston | TX | 02/2024 | Present |
| Bank Of America N.A. | Houston | TX | 05/2024 | Present |
I*: 1740255 Name of the other business: Rental Property 1 Whether the business is investment-related: No Address of the other business: Houston TX 77063 Nature of the other business: Residential Property Rental Title, or relationship with the other business: Landlord Start date of your relationship: Dec 1, 2023 Approximate number of hours/month you devote to the other business: 1 per month Number of hours you devote to the other business during securities trading hours: 0 Briefly describe your duties relating to the other business: My husband and I rent our previous house. I*1740256 , Entity Type,For Profit Name of OBA: Moreno Valenzuela LLC Address:Houston,TX,77063 Investment Related:NO Position, Title, Association: EGeneral Partner/Managing Member Employee Start Date: 04/07/2022 No Hours:1 MONTHLY No Hours during trading: 0 Duties:Created this LLC with my husband to organize and hold investments in Real Estate
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-05-13 |
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