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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2021-01-27 |
| TX | RA | APPROVED | 2021-01-27 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-01-26 |
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