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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 2025-02-24
NC RA APPROVED 2025-01-28
  • TX RA
    APPROVED
    Since 2025-02-24
  • NC RA
    APPROVED
    Since 2025-01-28

Branch Locations

4242 Six Forks Rd, Raleigh, NC 27609 • 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 Raleigh NC 10/2024 Present
United States Army Fort Liberty NC 07/2019 02/2024
Fleet Feet Fayetteville NC 05/2023 10/2024
Good Ole Fashioned Lawn Care Llc Fayetteville NC 09/2021 01/2023
East Carolina University Greenville NC 08/2016 05/2019
Unemployed Oak Island NC 06/2019 07/2019
Bank Of America, N.A. Raleigh NC 11/2024 Present
  • 10/2024 → Present
    Raleigh, NC
  • 07/2019 → 02/2024
    United States Army
    Fort Liberty, NC
  • 05/2023 → 10/2024
    Fleet Feet
    Fayetteville, NC
  • 09/2021 → 01/2023
    Good Ole Fashioned Lawn Care Llc
    Fayetteville, NC
  • 08/2016 → 05/2019
    East Carolina University
    Greenville, NC
  • 06/2019 → 07/2019
    Unemployed
    Oak Island, NC
  • 11/2024 → Present
    Bank Of America, N.A.
    Raleigh, NC
Other Businesses

I*: 2074262 Name: Good Ole Fashioned Lawn Care LLC. Not Investment Related Address: Fayetteville, NC Nature: Lawn Maintenance and Landscaping Company Your position: Owner / Operator Title, or relationship: Owner / Operator Start date: 01-Sep-2021 Approximate number of hours/month you devote:0 Number of hours you devote during securities trading hours: 0 Briefly describe your duties: Owner and operator. LLC has ceased operations and the appropriate articles of dissolution will be filed soon. The companies bank accounts will be closed in the near future. Currently no duties performed as the LLC has ceased operations. I*: 2068268 Name: Rental Property 1 Not Investment Related Address: Fayetteville, NC Nature: Rental Property Your position: Co-owner Title or relationship: Co-owner Start date: 19-Oct-2024 Approximate number of hours you devote: 2 Weekly Number of hours you devote during securities trading hours: 0 Briefly describe your duties: Co-owner with other family members

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-01-27
  • S66 Uniform Combined State Law Examination
    2025-01-27

View on SEC IAPD

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