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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 2026-05-11
MN RA APPROVED 2026-04-17
  • TX RA
    APPROVED
    Since 2026-05-11
  • MN RA
    APPROVED
    Since 2026-04-17

Branch Locations

One Bryant Park, New York, NY 10036 • UNITED STATES

8300 Norman Center Dr, Bloomington, MN 55437 • 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 Bloomington MN 09/2024 Present
Milbern Clothing Company St Paul MN 04/2023 08/2024
Walmart Lakeville MN 10/2021 09/2022
Lakeville North High School Lakeville MN 09/2019 06/2023
Century Middle School Lakeville MN 09/2016 06/2019
  • 09/2024 → Present
    Bloomington, MN
  • 04/2023 → 08/2024
    Milbern Clothing Company
    St Paul, MN
  • 10/2021 → 09/2022
    Walmart
    Lakeville, MN
  • 09/2019 → 06/2023
    Lakeville North High School
    Lakeville, MN
  • 09/2016 → 06/2019
    Century Middle School
    Lakeville, MN
Other Businesses

I*2018265Entity Type: Entity For ProfitName of OBA: Milbern Clothing Company INCAddress: St Paul, Minnesota, 55104Investment Related: NoPosition, Title, Association: EmployeeEmployee Start Date: 09/28/2024Number of Hours: 8, WeeklyNumber of Hours during trading: 0, WeeklyDuties: N/A I*3755384 Entity Type: Entity For Profit Name of OBA: MultiMission Address: Lakeville, Minnesota, 55044 Investment Related: No Position, Title, Association: General Partner/Managing Member Employee Start Date: 12/14/2022 Number of Hours: 0, Yearly Number of Hours during trading: 0, Yearly Duties: MultiMission is an assumed name I filed with the Minnesota Secretary of State on December 14, 2022. The purpose of the entity was to operate a clothing business focused on producing uniforms for high school sports teams and club programs. No expected responsibilities, aside from the process of cancelling the assumed name.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2026-04-16
  • S66 Uniform Combined State Law Examination
    2026-04-16

View on SEC IAPD

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