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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 2020-02-28
  • TX RA
    APPROVED
    Since 2020-02-28

Branch Locations

1509 Emerald Pkwy, College Station, TX 77845 • 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 College Station TX 09/2019 Present
Unemployed College Station TX 09/1999 09/2019
San Jacinto College San Jacinto CA 01/2017 08/2017
University Of Kentucky Lexington KY 08/2017 05/2019
Bank Of America, N.A. College Station TX 02/2020 Present
  • 09/2019 → Present
    College Station, TX
  • 09/1999 → 09/2019
    Unemployed
    College Station, TX
  • 01/2017 → 08/2017
    San Jacinto College
    San Jacinto, CA
  • 08/2017 → 05/2019
    University Of Kentucky
    Lexington, KY
  • 02/2020 → Present
    Bank Of America, N.A.
    College Station, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-02-27
  • S66 Uniform Combined State Law Examination
    2020-02-27

View on SEC IAPD

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