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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 2024-11-12
FL RA APPROVED 2024-10-02
  • TX RA
    APPROVED
    Since 2024-11-12
  • FL RA
    APPROVED
    Since 2024-10-02

Branch Locations

701 Brickell Ave, Miami, FL 33131 • United States

One Bryant Park, New York, NY 10036 • 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 Miami FL 08/2024 Present
Cleveland Clinic Florida Weston FL 04/2012 06/2024
Bank Of America, N.A. Miami FL 10/2024 Present
Other Businesses

I*1970275, Entity Type: Profit, Name of OBA: Bowden Industrial Holdings LLC Address: Dickinson, North Dakota 56801 Investment Related: No Position, Title, Association: Owner Employee Start Date:7/18/2020 No Hours: 5hrs yearly No Hours during trading: Duties: no land lord responsibilities other than receiving rent. Name of the other business Rental Property 1 Investment-related No Address of the other business Layton, UT Nature of the other business Private home rental property Your position Owner Title, or relationship with the other business Owner Start date of your relationship August 2019 Approximate number of hours/months you devote to the other business Less than 5/year Number of hours you devote to the other business during securities trading hours0 Briefly describe your duties relating to the other business Receive rent Payment I*: 2236278Entity Type: For ProfitName of OBA: Bowden Industrial Holdings 2 LLCAddress: Silver City, NM 88062Investment Related: NoPosition, Title, Association: ownerEmployee Start Date: 03/17/2025Number of Hours: 5hrs annuallyNumber of Hours during trading: 0Duties: I am purchasing another rental property, and am putting it in the name of my LLC. I*: 2575271Entity Type: CharitableName of OBA: Coral Gables Senior High School PTSAAddress: Coral Gables, FL 33146Investment Related: NoPosition, Title, Association: Board MemberEmployee Start Date: 8/14/2025Number of Hours: 2 hrs wklyNumber of Hours during trading: 0 Duties: It's the local high school my daughter is attending. Assist the president in her duties. I*, 2929358Entity Type: Name of OBA: ChamberSouthAddress: South Miami, Florida33143Investment Related: noPosition, Title, Association: Board MemberEmployee Start Date: 10/13/2025No Hours: 3 hours per weekNo Hours during trading: 0 Duties: To connect with local businesses and grow your network in South Miami-Dade County. To serve as a board member. This requires me to attend monthly board meetings and attend regular chamber meetings. I would attend monthly board meetings and I'm expected to attend networking events the chamber hosts. The monthly board meetings consist of planning the networking events aimed to create community engagement and facilitate local businesses in connecting with each other. I*4475267, Entity Type: Entity For Profit, Name of OBA: ReadyBrands LLC, Address: Miami, Florida, 33155, Investment Related: N, Position, Title, Association: General Partner/Managing Member, Employee Start Date: 04/21/2026, No Hours: 5 Weekly, No Hours during Trading: 0 Weekly, Duties: help ensure my daughter stays compliant and sign things she's not able to as a minor, my daughter will make frozen ice cream mixes for people to buy.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-03-18
  • S66 Uniform Combined State Law Examination
    2024-03-18
Other Names
  • Amber Lucera Alder

View on SEC IAPD

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