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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2021-08-05 |
| VA | RA | APPROVED | 2020-09-09 |
Branch Locations
One Bryant Park Investment Solutions Group, New York, NY 10036 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 05/2020 | Present |
| Emory University | Atlanta | GA | 08/2016 | 05/2020 |
| Bank Of America Merrill Lynch | New York | NY | 06/2019 | 08/2019 |
| Wells Fargo | Raleigh | NC | 06/2018 | 08/2018 |
| Neiman Marcus | Mclean | VA | 05/2017 | 11/2018 |
| Jc Crew | Mclean | VA | 05/2017 | 06/2017 |
I*1259323 Entity Type: Charitable Name of OBA: En Garde Arts Address:New York, NY, 11201 Investment Related:No Position, Title, Association:Board Member Employee Start Date:02/14/2023 No Hours: 3 No Hours during trading:0 Duties:As a board member I am responsible for assisting with fundraising, budgeting, grant requests, marketing, and creative direction of non-profit theater/production company.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-09-05 |
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