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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 2025-11-17
FL RA APPROVED 2025-07-07
  • TX RA
    APPROVED
    Since 2025-11-17
  • FL RA
    APPROVED
    Since 2025-07-07

Branch Locations

45 Eglin Pkwy Ne, Fort Walton Beach, FL 32548 • United States

One Bryant Park, New York, NY 10036 • 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
Alliance Bernstein Dallas TX 11/2023 03/2025
Goldman Sachs Dallas TX 07/2022 11/2023
Auburn University Auburn AL 08/2021 05/2022
Regions Bank Birmigham AL 05/2021 07/2021
Merrill Lynch Fort Walton Beach FL 05/2019 08/2019
Auburn University Auburn AL 08/2021 05/2022
Auburn Univeristy Auburn AL 08/2020 05/2021
Auburn University Auburn AL 08/2019 05/2020
Auburn University Auburn AL 08/2018 05/2019
Choctawhatchee High School Fort Walton Beach FL 08/2014 05/2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated Fort Walton Beach FL 04/2025 Present
Bank Of America, N.A. Fort Walton Beach FL 05/2025 Present
  • 11/2023 → 03/2025
    Alliance Bernstein
    Dallas, TX
  • 07/2022 → 11/2023
    Goldman Sachs
    Dallas, TX
  • 08/2021 → 05/2022
    Auburn University
    Auburn, AL
  • 05/2021 → 07/2021
    Regions Bank
    Birmigham, AL
  • 05/2019 → 08/2019
    Merrill Lynch
    Fort Walton Beach, FL
  • 08/2021 → 05/2022
    Auburn University
    Auburn, AL
  • 08/2020 → 05/2021
    Auburn Univeristy
    Auburn, AL
  • 08/2019 → 05/2020
    Auburn University
    Auburn, AL
  • 08/2018 → 05/2019
    Auburn University
    Auburn, AL
  • 08/2014 → 05/2018
    Choctawhatchee High School
    Fort Walton Beach, FL
  • 04/2025 → Present
    Fort Walton Beach, FL
  • 05/2025 → Present
    Bank Of America, N.A.
    Fort Walton Beach, FL
Other Businesses

I*4563269 Entity Type: Entity Charitable Name of OBA: Impact 100 Address: Fort Walton Beach, Florida, 32548 Investment Related: No Position, Title, Association: Committee Employee Start Date: 05/19/2026 Number of Hours: 10, Yearly Number of Hours during trading: 0, Yearly Duties: It is an organization that supports nonprofit organizations in the county. A member of the organization and serve on a committee for 4-6 weeks that tours the nonprofit organizations.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-07-03
S63 Uniform Securities Agent State Law Examination 2024-05-21
  • S66 Uniform Combined State Law Examination
    2025-07-03
  • S63 Uniform Securities Agent State Law Examination
    2024-05-21
Other Names
  • Emily Mcgovern
  • Emily Alexis Mcgovern

View on SEC IAPD

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