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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 2025-01-02
  • TX RA
    APPROVED
    Since 2025-01-02

Branch Locations

3811 Washington Ave, Houston, TX 77007 • 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 Houston TX 08/2022 Present
Uber Eats Houston TX 06/2022 11/2022
Dairy Queen Houston TX 07/2022 08/2022
All Star Car Audio South Houston TX 05/2021 05/2022
Mcdonalds Webster TX 01/2021 06/2021
Jack In The Box Webster TX 01/2021 04/2021
Sonic Friendswood TX 11/2019 01/2021
Unemployed Houston TX 06/2019 10/2019
Mcdonalds Austin TX 02/2019 05/2019
William B Travis Highschool Student Austin TX 08/2017 05/2019
Unemployed Austin TX 05/2017 08/2017
Murchison Middle School-Student Austin TX 08/2014 05/2017
San Jacinto Community College Houston TX 01/2022 05/2023
Bank Of America, N.A Houston TX 01/2025 Present
  • 08/2022 → Present
    Houston, TX
  • 06/2022 → 11/2022
    Uber Eats
    Houston, TX
  • 07/2022 → 08/2022
    Dairy Queen
    Houston, TX
  • 05/2021 → 05/2022
    All Star Car Audio
    South Houston, TX
  • 01/2021 → 06/2021
    Mcdonalds
    Webster, TX
  • 01/2021 → 04/2021
    Jack In The Box
    Webster, TX
  • 11/2019 → 01/2021
    Sonic
    Friendswood, TX
  • 06/2019 → 10/2019
    Unemployed
    Houston, TX
  • 02/2019 → 05/2019
    Mcdonalds
    Austin, TX
  • 08/2017 → 05/2019
    William B Travis Highschool Student
    Austin, TX
  • 05/2017 → 08/2017
    Unemployed
    Austin, TX
  • 08/2014 → 05/2017
    Murchison Middle School-Student
    Austin, TX
  • 01/2022 → 05/2023
    San Jacinto Community College
    Houston, TX
  • 01/2025 → Present
    Bank Of America, N.A
    Houston, TX
Other Businesses

I*3843274 Entity Type: Entity For Profit Name of OBA: Alyssa Briana Beauty Address: humble, Texas, 77346 Investment Related: No Position, Title, Association: Owner Employee Start Date: 03/01/2026 Number of Hours: 10, Weekly Number of Hours during trading: 0, Weekly Duties: resale of lash products such as lash trays, tweezers, etc. and lash extensions services owner, resale of the products, and lash extension specialist for the services

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-12-31
  • S66 Uniform Combined State Law Examination
    2024-12-31

View on SEC IAPD

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