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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 2025-06-18
NJ RA APPROVED 2025-06-09
  • TX RA
    APPROVED_RES
    Since 2025-06-18
  • NJ RA
    APPROVED
    Since 2025-06-09

Branch Locations

800 Marketplace Blvd, Hamilton, NJ 08691 • United States

1230 Parkway Ave, Trenton, NJ 08628 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Clearing Services, Llc Feasterville Trevose PA 07/2019 08/2020
Wells Fargo Bank, Na Feasterville Trevose PA 03/2019 08/2020
Td Bank N.A. Philadelphia PA 07/2017 03/2019
The Pnc Financial Services Group, Inc Warminster PA 08/2016 07/2017
Philly Auto Center Llc Glenolden PA 09/2020 03/2022
Jp Morgan Chase Bank, N.A. Abington PA 03/2022 12/2022
Jp Morgan Securities, Llc Abington PA 03/2022 12/2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated Lawrenceville NJ 03/2025 Present
American Auto Bristol PA 12/2022 03/2025
Bank Of America, N.A. Lawrenceville NJ 05/2025 Present
  • 07/2019 → 08/2020
    Wells Fargo Clearing Services, Llc
    Feasterville Trevose, PA
  • 03/2019 → 08/2020
    Wells Fargo Bank, Na
    Feasterville Trevose, PA
  • 07/2017 → 03/2019
    Td Bank N.A.
    Philadelphia, PA
  • 08/2016 → 07/2017
    The Pnc Financial Services Group, Inc
    Warminster, PA
  • 09/2020 → 03/2022
    Philly Auto Center Llc
    Glenolden, PA
  • 03/2022 → 12/2022
    Jp Morgan Chase Bank, N.A.
    Abington, PA
  • 03/2022 → 12/2022
    Jp Morgan Securities, Llc
    Abington, PA
  • 03/2025 → Present
    Lawrenceville, NJ
  • 12/2022 → 03/2025
    American Auto
    Bristol, PA
  • 05/2025 → Present
    Bank Of America, N.A.
    Lawrenceville, NJ
Other Businesses

I*: 2304259 Entity Type: For Profit Name: UBER, INC INVESTMENT RELATED: No Address: San Francisco , CA 94158 Position: Driver Start Date; 03/31/2025 10/ a week after regular working hours 0 Hours during securities trading hours Duties: I am part time Uber driver time to time I*: 2806312 Entity Type: For Profit Name of OBA: A.A. Inc Address: Bensalem, PA 19020 Investment Related: No Position, Title, Association: Owner Employee Start Date: 04/19/2023Number of Hours: 4 hrs wkly Number of Hours during trading: 0 Duties: I will be selling household retail items on EBAY . I will be getting products from wholesales as well as from flee markets and yard sales.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-06-06
S63 Uniform Securities Agent State Law Examination 2020-01-09
  • S66 Uniform Combined State Law Examination
    2025-06-06
  • S63 Uniform Securities Agent State Law Examination
    2020-01-09

View on SEC IAPD

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