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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 |
|---|---|---|---|
| TX | RA | APPROVED | 2024-08-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Dallas | TX | 08/2019 | 02/2022 |
| Ramos Law Group, Pllc | Houston | TX | 06/2012 | Present |
| The Woodlands Financial Services Inc. | The Woodlands | TX | 06/2018 | 07/2018 |
| Mills Uniform Company | Houston | TX | 05/2017 | 08/2017 |
| The University Of The South | Sewanee | TN | 08/2015 | 05/2019 |
| Austin Community College | Austin | TX | 08/2016 | 12/2016 |
| Bank Of America, N.A. | Dallas | TX | 11/2019 | 02/2022 |
| Natixis Investment Managers | Cambridge | MA | 02/2022 | 07/2024 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Houston | TX | 07/2024 | Present |
| Bank Of America, N.A. | Houston | TX | 09/2024 | Present |
Name of the other businessRamos Law Group, PLLCWhether the business is investment-relatedNoAddress of the other businessHouston, TX 77006Nature of the other businessSocial Media Marketing Your positionBusiness Intern/Marketing Clerk Title, or relationship with the other businessNA. Family business Start date of your relationship06/2012Approximate number of hours/months you devote to the other business8 hrs/wk 12 months/yr Number of hours you devote to the other business during securities trading hours0Briefly describe your duties relating to the other businessCreate social media posts for Ramos Law Group Social Media pages I*3072272 Entity Type: Entity Charitable Name of OBA: Ramos Reindeer Roundup Address: Houston, Texas, 77006 Investment Related: No Position, Title, Association: Treasurer,Board Member Employee Start Date: 10/29/2025 Number of Hours: 36, Yearly Number of Hours during trading: 1, Yearly Duties: It is a Houston-based 501(c)(3) nonprofit organization dedicated to spreading the magic of Christmas by providing holiday gifts and meals to children and families in need. Originally funded privately by the Ramos family, it now aims to expand its reach to serve up to 1,000 families annually by 2025, working with local churches and community partners to identify families in need and deliver gifts and meals during the holiday season. I will serve as a board member for a nonprofit organization. My responsibilities will include: Fundraising and Event Planning: Collaborating with other board members to plan and execute fundraising initiatives and community events. Annual Christmas Gift-Giving Program: Overseeing the implementation of the organization's annual holiday gift-giving event for children in need. Gift Procurement and Expense Tracking: Managing the purchase of gifts based on children's wish lists using organizational funds and ensuring accurate tracking of related expenses. This role is voluntary and focused on supporting the nonprofit's mission to provide holiday gifts and experiences for underserved families.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-12-03 |
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