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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 2018-03-20
CO RA APPROVED 2018-03-19
  • TX RA
    APPROVED
    Since 2018-03-20
  • CO RA
    APPROVED
    Since 2018-03-19

Branch Locations

200 Josephine St, Denver, CO 80206 • 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 Denver CO 05/2005 Present
  • 05/2005 → Present
    Merrill Lynch
    Denver, CO
Other Businesses

I*2615278, Entity Type not for profit, Name of OBA: Cherry Creek Has Heart Address: Denver Colorado 80206 Investment Related: No Position, Title, Association:committee member Employee Start Date: 07/15/2025 No Hours: 2 monthly No Hours during trading: 2 monthly Duties:I am a committee member and as a committee we decide which local charities will receive donations from Cherry Creek Has Hear

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-03-17
  • S66 Uniform Combined State Law Examination
    2018-03-17
Other Names
  • Christine M. Kassner
  • Christine Mary Eakins

View on SEC IAPD

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