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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
TX RA APPROVED_RES 2022-11-16
SC RA APPROVED 2019-11-19
  • TX RA
    APPROVED_RES
    Since 2022-11-16
  • SC RA
    APPROVED
    Since 2019-11-19

Branch Locations

75 Port City Lndg, Mount Pleasant, SC 29464 • 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 Charleston SC 07/2019 Present
Nick's Airport Inn Hagerstown MD 05/2015 08/2017
On-Tour 24-7; Charleston Food And Wine Festival Charleston SC 02/2018 03/2018
Accela Worldwide Logistics Hagerstown MD 05/2018 08/2018
Wellness Five Llc Charleston SC 05/2017 01/2019
Heather Koepenick Cpa Charleston SC 01/2019 04/2019
College Of Charleston Charleston SC 08/2015 05/2019
Prohibition Charleston Charleston SC 07/2018 07/2019
Bank Of America, N.A. Charleston SC 09/2019 Present
  • 07/2019 → Present
    Charleston, SC
  • 05/2015 → 08/2017
    Nick's Airport Inn
    Hagerstown, MD
  • 02/2018 → 03/2018
    On-Tour 24-7; Charleston Food And Wine Festival
    Charleston, SC
  • 05/2018 → 08/2018
    Accela Worldwide Logistics
    Hagerstown, MD
  • 05/2017 → 01/2019
    Wellness Five Llc
    Charleston, SC
  • 01/2019 → 04/2019
    Heather Koepenick Cpa
    Charleston, SC
  • 08/2015 → 05/2019
    College Of Charleston
    Charleston, SC
  • 07/2018 → 07/2019
    Prohibition Charleston
    Charleston, SC
  • 09/2019 → Present
    Bank Of America, N.A.
    Charleston, SC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-11-18
  • S66 Uniform Combined State Law Examination
    2019-11-18
Other Names
  • Mckenna Hough

View on SEC IAPD

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