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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
NY RA APPROVED 2024-02-16
TX RA APPROVED 2024-02-16
  • NY RA
    APPROVED
    Since 2024-02-16
  • TX RA
    APPROVED
    Since 2024-02-16

Branch Locations

225 Liberty St, New York, NY 10281 • 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 New York NY 09/2019 02/2024
Morgan Stanley Shrewsbury NJ 04/2019 08/2019
Vanilla Sky Shrewsbury NJ 02/2018 05/2019
New York Community Bank Westbury NY 06/2018 09/2018
Mango Bay (Formerly Carlyle On The Green) Farmingdale NY 04/2017 06/2018
Ariola Foods Farmingdale NY 01/2014 01/2017
Monmouth University West Long Branch NJ 01/2017 05/2019
Merrill Lynch, Pierce, Fenner & Smith Incorporated New York NY 02/2024 Present
  • 09/2019 → 02/2024
    New York, NY
  • 04/2019 → 08/2019
    Shrewsbury, NJ
  • 02/2018 → 05/2019
    Vanilla Sky
    Shrewsbury, NJ
  • 06/2018 → 09/2018
    New York Community Bank
    Westbury, NY
  • 04/2017 → 06/2018
    Mango Bay (Formerly Carlyle On The Green)
    Farmingdale, NY
  • 01/2014 → 01/2017
    Ariola Foods
    Farmingdale, NY
  • 01/2017 → 05/2019
    Monmouth University
    West Long Branch, NJ
  • 02/2024 → Present
    New York, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-06-18
  • S66 Uniform Combined State Law Examination
    2020-06-18
Other Names
  • Nicole Giovanniello
  • Nicole Marie Giovanniello

View on SEC IAPD

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