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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 | 2025-01-02 |
| NY | RA | APPROVED | 2024-12-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jefferies Llc | New York | NY | 07/2022 | 11/2023 |
| St. John's University | New York | NY | 09/2021 | 05/2022 |
| Jefferies Llc | New York | NY | 06/2021 | 08/2021 |
| Merrill Lynch | New York | NY | 12/2019 | 05/2021 |
| St. John's University | New York | NY | 05/2019 | 12/2019 |
| Morgan Stanley | New York | NY | 05/2019 | 05/2019 |
| St. John's University | New York | NY | 09/2018 | 12/2018 |
| Lifetime Athletic | Garden City | NY | 01/2018 | 10/2018 |
| Ameripark | Garden City | NY | 12/2018 | 01/2019 |
| West Hempstead High School | West Hempstead | NY | 09/2014 | 06/2018 |
| St. John's University | New York | NY | 01/2019 | 05/2019 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Brooklyn | NY | 08/2024 | Present |
| Unemployed | New York | NY | 12/2023 | 07/2024 |
| Bank Of America, N.A. | Brooklyn | NY | 12/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-10-25 |
| S63 | Uniform Securities Agent State Law Examination | 2022-07-22 |
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