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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
FL RA APPROVED 2023-02-07
  • FL RA
    APPROVED
    Since 2023-02-07

Branch Locations

1 Town Center Rd, Boca Raton, FL 33486 • 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
Edward Jones St Louis MO 06/2019 02/2023
Auto Boutique Consulting, Inc Parkland FL 03/2016 06/2019
Merrill Lynch, Pierce, Fenner & Smith Incorporated Boca Raton FL 02/2023 Present
Bank Of America, N.A. Boca Raton FL 02/2023 Present
Previous Registrations
  • 2019-08-07 → 2023-02-09
    Parkland, FL
    Parkland, FL
    St Louis, MO
    Plantation, FL
    Pompano Beach, FL
Other Businesses

I*1178259 Entity Type: For Profit Name of OBA: Auto Boutique Consulting Address: Coral Springs, Florida, 33067 Investment Related: No Position, Title, Association: Officer Employee Start Date: 02/01/2016 Number of Hours: 0 Number of Hours during trading: 0 Duties: residual income from automobile dealership ancillary sales products minimal administrative review of statements I*2674289, Entity Type: Charitable Name of OBA: Habitat for Humanity, Address: Riviera Beach, Florida, 33407, Investment Related: No, Position, Title, Association: Employee State Date: 08/31/2025, No Hours: 5 Monthly, No Hours during Trading: 0 Monthly, Duties: General planning of the upcoming Veteran's build of a new home. Building Homes for the those in need of a safe home I*3320272 Entity Type: For Profit Name of OBA: Laundry Spa LLC Address: Oakland Park, Florida, 33309 Investment Related: No Position, Title, Association: General Partner/Managing Member, Owner Employee Start Date: 01/01/2026 Number of Hours: 1, Monthly Number of Hours during trading: 0 Duties: I would like to invest in the ownership of a coin laundry business as an absentee owner with a partner who will be the full time operator of the business no responsibilities, just financial investment.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-08-03
  • S66 Uniform Combined State Law Examination
    2019-08-03
Other Names
  • Aisha A Azeez
  • Aisha A Mumin

View on SEC IAPD

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