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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 | 2018-03-20 |
| CO | RA | APPROVED | 2018-03-19 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch | Denver | CO | 05/2005 | Present |
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
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-03-17 |
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