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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 2025-11-03
IL RA APPROVED 2025-08-25
  • TX RA
    APPROVED
    Since 2025-11-03
  • IL RA
    APPROVED
    Since 2025-08-25

Branch Locations

110 N Wacker Dr, Chicago, IL 60606 • 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 Chicago IL 08/2024 Present
Denison University Granville OH 08/2023 08/2024
Embassy Of El Salvador Washington D.C. DC 05/2023 08/2023
Denison University Granville OH 08/2022 05/2023
Chick-Fil-A Chicago IL 05/2022 08/2022
Denison University Granville OH 08/2021 05/2022
Chick-Fil-A Chicago IL 05/2021 08/2021
Denison University Granville OH 08/2020 05/2021
Lycee Francais De Chicago Chicago IL 01/2013 06/2020
  • 08/2024 → Present
    Chicago, IL
  • 08/2023 → 08/2024
    Denison University
    Granville, OH
  • 05/2023 → 08/2023
    Embassy Of El Salvador
    Washington D.C., DC
  • 08/2022 → 05/2023
    Denison University
    Granville, OH
  • 05/2022 → 08/2022
    Chick-Fil-A
    Chicago, IL
  • 08/2021 → 05/2022
    Denison University
    Granville, OH
  • 05/2021 → 08/2021
    Chick-Fil-A
    Chicago, IL
  • 08/2020 → 05/2021
    Denison University
    Granville, OH
  • 01/2013 → 06/2020
    Lycee Francais De Chicago
    Chicago, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-08-25
  • S66 Uniform Combined State Law Examination
    2025-08-25

View on SEC IAPD

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