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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
NY RA APPROVED 2021-08-05
VA RA APPROVED 2020-09-09
  • NY RA
    APPROVED
    Since 2021-08-05
  • VA RA
    APPROVED
    Since 2020-09-09

Branch Locations

One Bryant Park Investment Solutions Group, 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
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
  • 05/2020 → Present
    New York, NY
  • 08/2016 → 05/2020
    Emory University
    Atlanta, GA
  • 06/2019 → 08/2019
    Bank Of America Merrill Lynch
    New York, NY
  • 06/2018 → 08/2018
    Wells Fargo
    Raleigh, NC
  • 05/2017 → 11/2018
    Neiman Marcus
    Mclean, VA
  • 05/2017 → 06/2017
    Jc Crew
    Mclean, VA
Other Businesses

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.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-09-05
  • S66 Uniform Combined State Law Examination
    2020-09-05
Other Names
  • Bria Peace

View on SEC IAPD

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