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Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691
$1.78T regulatory AUM 16,844 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-05-12 |
| CA | RA | APPROVED | 2025-01-24 |
Branch Locations
2555 E Camelback Rd, Phoenix, AZ 85016 • United States
One Bryant Park, New York, NY 10036 • UNITED STATES
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Phoenix | AZ | 11/2024 | Present |
| Charles Schwab | Phoenix | AZ | 11/2024 | 11/2024 |
| Phoenix Union High School District | Phoenix | AZ | 07/2013 | 11/2024 |
| Western School Of Technology | Phoenix | AZ | 06/2017 | 07/2017 |
| Lyft | Phoenix | AZ | 01/2017 | 03/2017 |
| Postmates | Phoenix | AZ | 03/2020 | 05/2020 |
| Grifols Plasma | Phoenix | AZ | 03/2009 | 10/2024 |
| Biolife Plasma | Glendale | AZ | 05/2020 | 07/2023 |
| Idealistic Educator | Phoenix | AZ | 07/2020 | 05/2023 |
| American Public University | Charles Town | WV | 05/2015 | 05/2018 |
| Bank Of America, N.A. | Phoenix | AZ | 01/2025 | Present |
I*: 2132265 Entity Type: Entity Charitable Name of OBA: Huntington's Disease Society of America Address: New York City, NY 10018 Investment Related: n Position, Title, Association: Board Member Employee Start Date: 01/02/2024 No Hours: 3hr/mo No Hours during trading:3 Duties: HDSA helps raise funds & awareness for people suffering from Huntington's Disease and for research of Huntington's.I will serve on the board and help fundraise for them. I*: 2132267 Entity Type: Entity Charitable Name of OBA: Phoenix Union Foundation for Education Address: Phoenix, AZ 85004 Investment Related: n Position, Title, Association: Committee Employee Start Date: 01/07/2024 No Hours: 3hr/mo No Hours during trading:3 Duties: Foundation raises money for scholarships for college bound graduates of the Phoenix Union High School District.I'll be on the fundraising committee & possibly the board. I*: 2132269 Entity Type: Entity Charitable Name of OBA: Administer Justice Address: Elgin, IL 60123 Investment Related: n Position, Title, Association: Committee Employee Start Date: 02/01/2024 No Hours: 3hr/mo No Hours during trading:2 Duties: They provide legal assistance to indigent people in Phoenix (at nation at large).I will help them with fundraising and may serve on a committee for that.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-05-30 |
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