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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 2024-11-10
  • TX RA
    APPROVED
    Since 2024-11-10

Branch Locations

3300 Bee Caves Rd, Austin, TX 78746 • United States

3520 N Lamar Blvd, Austin, TX 78705 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Austin TX 05/2019 Present
Best Buy Buffalo NY 06/2016 04/2021
Canisius College Buffalo NY 08/2012 12/2016
Strayer University Buffalo NY 10/2020 10/2021
Other Businesses

I*965380, Entity Type Entity For Profit, Name of OBA: GT Syndicate Address: cedar parkTexas78613 Investment Related: No Position, Title, Association: Officer Employee Start Date: 12/01/2021No Hours: 5 weekly No Hours during trading: 0 Duties: Automotive Photography and Videography. I will take pictures and videos of cars for clients. track days at a local circuit and hosting private car events. I*: 2891307 Entity Type: For Profit Name of OBA: Rover Address: Del Valle, TX 78617 Investment Related: No Position, Title, Association: Employee Employee Start Date: 10/1/2025 Number of Hours: 10 hrs mthly Number of Hours during trading: 0 Duties: dog sitter

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-11-07
  • S66 Uniform Combined State Law Examination
    2024-11-07
Other Names
  • Antonio Miguel Cicelske

View on SEC IAPD

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