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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
MO RA APPROVED 2026-08-11
  • MO RA
    APPROVED
    Since 2026-08-11

Branch Locations

1371 N Mt Auburn Rd, Cape Girardeau, MO 63701 • 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
Wells Fargo Clearing Services, Llc Cape Girardeau MO 08/2019 08/2021
Keller Williams Realty Little Rock AR 06/2016 09/2017
Standard Listing Realtors Little Rock AR 09/2017 09/2018
Re/Max Elite Little Rock AR 09/2018 08/2019
Edward Jones St. Louis MO 08/2021 09/2022
Wealth Enhancement Brokerage Services Jackson MO 09/2022 07/2026
Wealth Enhancement Group Jackson MO 09/2022 07/2026
Wealth Enhancement Advisory Services Jackson MO 09/2022 07/2026
Merrill Lynch, Pierce, Fenner & Smith Incorporated Cape Girardeau MO 07/2026 Present
  • 08/2019 → 08/2021
    Cape Girardeau, MO
  • 06/2016 → 09/2017
    Keller Williams Realty
    Little Rock, AR
  • 09/2017 → 09/2018
    Standard Listing Realtors
    Little Rock, AR
  • 09/2018 → 08/2019
    Re/Max Elite
    Little Rock, AR
  • 08/2021 → 09/2022
    St. Louis, MO
  • 09/2022 → 07/2026
    Wealth Enhancement Brokerage Services
    Jackson, MO
  • 09/2022 → 07/2026
    Wealth Enhancement Group
    Jackson, MO
  • 09/2022 → 07/2026
    Wealth Enhancement Advisory Services
    Jackson, MO
  • 07/2026 → Present
    Cape Girardeau, MO
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-11-06
  • S66 Uniform Combined State Law Examination
    2019-11-06
Other Names
  • Jesse Hughes
  • Jesse Warren Hughes

View on SEC IAPD

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