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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 2025-02-06
NY RA APPROVED 2024-12-23
  • TX RA
    APPROVED
    Since 2025-02-06
  • NY RA
    APPROVED
    Since 2024-12-23

Branch Locations

405 Windsor Hwy, New Windsor, NY 12584 • 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 Vails Gate NY 01/2021 Present
Guess Factory Store Woodbury NY 12/2019 01/2021
Kia Of West Nyack West Nyack NY 07/2017 09/2017
T- Mobile Arch Telecom Middletown NY 01/2017 08/2017
Hollister Middletown NY 11/2015 02/2017
Tapestry, Inc Woodbury Monroe NY 11/2021 12/2021
Sterling Jewelers Woodbury Monroe NY 11/2020 07/2021
Guess Factory Store Woodbury Monroe NY 09/2017 10/2018
Levis Woodbury Monroe NY 10/2018 12/2019
Bank Of America Middletown NY 01/2021 08/2024
Bank Of America, N.A. Vails Gate NY 12/2024 Present
  • 01/2021 → Present
    Vails Gate, NY
  • 12/2019 → 01/2021
    Guess Factory Store
    Woodbury, NY
  • 07/2017 → 09/2017
    Kia Of West Nyack
    West Nyack, NY
  • 01/2017 → 08/2017
    T- Mobile Arch Telecom
    Middletown, NY
  • 11/2015 → 02/2017
    Hollister
    Middletown, NY
  • 11/2021 → 12/2021
    Tapestry, Inc
    Woodbury Monroe, NY
  • 11/2020 → 07/2021
    Sterling Jewelers
    Woodbury Monroe, NY
  • 09/2017 → 10/2018
    Guess Factory Store
    Woodbury Monroe, NY
  • 10/2018 → 12/2019
    Levis
    Woodbury Monroe, NY
  • 01/2021 → 08/2024
    Bank Of America
    Middletown, NY
  • 12/2024 → Present
    Bank Of America, N.A.
    Vails Gate, NY
Other Businesses

I*1115249, Entity Type, Entity for Profit, Name of OBA: LeapYear, Address: Middletown, NY, 10941, Investment Related: No, Position, Title, Association: Owner, Employee Start Date: 01/01/2020, No Hours: 2hrs/Weekly, No Hours during trading: 0, Duties: Clothing.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-12-20
  • S66 Uniform Combined State Law Examination
    2024-12-20
Other Names
  • Tyler Theodore Alexander Miller

View on SEC IAPD

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