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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 2025-01-02
NY RA APPROVED 2024-12-10
  • TX RA
    APPROVED
    Since 2025-01-02
  • NY RA
    APPROVED
    Since 2024-12-10

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
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
  • 07/2022 → 11/2023
    Jefferies Llc
    New York, NY
  • 09/2021 → 05/2022
    St. John's University
    New York, NY
  • 06/2021 → 08/2021
    Jefferies Llc
    New York, NY
  • 12/2019 → 05/2021
    Merrill Lynch
    New York, NY
  • 05/2019 → 12/2019
    St. John's University
    New York, NY
  • 05/2019 → 05/2019
    Morgan Stanley
    New York, NY
  • 09/2018 → 12/2018
    St. John's University
    New York, NY
  • 01/2018 → 10/2018
    Lifetime Athletic
    Garden City, NY
  • 12/2018 → 01/2019
    Ameripark
    Garden City, NY
  • 09/2014 → 06/2018
    West Hempstead High School
    West Hempstead, NY
  • 01/2019 → 05/2019
    St. John's University
    New York, NY
  • 08/2024 → Present
    Brooklyn, NY
  • 12/2023 → 07/2024
    Unemployed
    New York, NY
  • 12/2024 → Present
    Bank Of America, N.A.
    Brooklyn, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-10-25
S63 Uniform Securities Agent State Law Examination 2022-07-22
  • S66 Uniform Combined State Law Examination
    2024-10-25
  • S63 Uniform Securities Agent State Law Examination
    2022-07-22
Other Names
  • George Timothy Ralph
  • George T Ralph
  • Tim Ralph

View on SEC IAPD

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