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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 2020-03-03
  • TX RA
    APPROVED
    Since 2020-03-03

Branch Locations

2800 Post Oak Blvd, Houston, TX 77056 • 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 Conroe TX 07/2015 Present
Bank Of America, N.A. Conroe TX 07/2015 Present
Captain Benny's Seafood Houston TX 05/2010 06/2017
Other Businesses

I*3749265 Entity Type: Entity Governmental Name of OBA: The Varnett Public School Address: Houston, Texas, 77035 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 12/16/2025 Number of Hours: 4, Monthly Number of Hours during trading: 0, Monthly Duties: Varnett Public Schools is a charter school education system. Board Member As a school board member our role entails to collaborate with the other board members to set the district's vision and goals, establish and monitor systems for progress and accountability, and advocate for students. As a Board member we evaluate the superintendent, while allowing the superintendent and administrative staff to manage daily district operations. My responsibilities are to ensure that the district is doing everything possible for student success outcomes which means reviewing proposal for student programs, school efficiencies, and advocating for correct oversight. As a board member I will vote in or out of favor for proposals that come to our attention with the Students best interest in mind. In short I am an advocate for the school district I serve and my job is to make sure everything is running in favor of student success and in compliance with the Texas Education Agency.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-03-02
  • S66 Uniform Combined State Law Examination
    2020-03-02

View on SEC IAPD

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