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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
CA RA APPROVED 2021-01-27
TX RA APPROVED 2021-01-27
  • CA RA
    APPROVED
    Since 2021-01-27
  • TX RA
    APPROVED
    Since 2021-01-27

Branch Locations

2555 E Camelback Rd, Phoenix, AZ 85016 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Chandler AZ 06/2020 Present
Venture Up Phoenix AZ 08/2019 06/2020
Golden West Financial Mesa AZ 06/2019 08/2019
Venture Up Phoenix AZ 09/2018 06/2019
The Oakmont Flagstaff AZ 06/2017 08/2018
Salsa Brava Flagstaff AZ 06/2017 07/2017
Northern Arizona University Flagstaff AZ 08/2016 05/2020
Uber Gilbert AZ 01/2018 06/2020
Bank Of America, N.A. Chandler AZ 01/2021 Present
  • 06/2020 → Present
    Chandler, AZ
  • 08/2019 → 06/2020
    Venture Up
    Phoenix, AZ
  • 06/2019 → 08/2019
    Golden West Financial
    Mesa, AZ
  • 09/2018 → 06/2019
    Venture Up
    Phoenix, AZ
  • 06/2017 → 08/2018
    The Oakmont
    Flagstaff, AZ
  • 06/2017 → 07/2017
    Salsa Brava
    Flagstaff, AZ
  • 08/2016 → 05/2020
    Northern Arizona University
    Flagstaff, AZ
  • 01/2018 → 06/2020
    Uber
    Gilbert, AZ
  • 01/2021 → Present
    Bank Of America, N.A.
    Chandler, AZ
Other Businesses

I*1124261 For profit or not for profit: Entity For Profit Name of outside business organization: Grand Canyon University Investment related: N Address of business: phoenix, Arizona, 85017 Nature of business: ["School, College or University"] Position, title, association: ["Other"], Start date of relationship: 10/1/2022 Number of hours devoted: 10 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: I am the assistant coach of the GCU division 3 club hockey team., Assistance Hockey Coach for GCU club Division 3 team

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-01-26
  • S66 Uniform Combined State Law Examination
    2021-01-26

View on SEC IAPD

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