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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 2025-05-22
RI RA APPROVED 2025-05-21
  • TX RA
    APPROVED
    Since 2025-05-22
  • RI RA
    APPROVED
    Since 2025-05-21

Branch Locations

Warwick, RI • United States

3400 Pawtucket Ave Ci Client Management, Riverside, RI 02915 • 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 Lincoln RI 01/2025 Present
Specialized Orthopedic Physical Therapy Warwick RI 09/2024 01/2025
Black Diamond Networks Lincoln RI 07/2023 06/2024
Enterprise Rent-A-Car Amherst MA 09/2022 06/2023
Unemployed Warwick RI 06/2024 09/2024
Enterprise Rent-A-Car Cranston RI 06/2022 08/2022
Harbor Lights Country Club Warwik RI 06/2019 08/2021
University Of Massachusetts Amherst Amherst MA 09/2019 05/2023
University Of Massachusetts Amherst Amherst MA 09/2019 05/2023
Bed Bath And Beyond Warwick RI 09/2016 09/2019
American Eagle Outfitters Warwick RI 07/2018 08/2021
Toll Gate High School Warwick RI 09/2015 06/2019
Bank Of America, N.A. Lincoln RI 03/2025 Present
  • 01/2025 → Present
    Lincoln, RI
  • 09/2024 → 01/2025
    Specialized Orthopedic Physical Therapy
    Warwick, RI
  • 07/2023 → 06/2024
    Black Diamond Networks
    Lincoln, RI
  • 09/2022 → 06/2023
    Enterprise Rent-A-Car
    Amherst, MA
  • 06/2024 → 09/2024
    Unemployed
    Warwick, RI
  • 06/2022 → 08/2022
    Enterprise Rent-A-Car
    Cranston, RI
  • 06/2019 → 08/2021
    Harbor Lights Country Club
    Warwik, RI
  • 09/2019 → 05/2023
    University Of Massachusetts Amherst
    Amherst, MA
  • 09/2019 → 05/2023
    University Of Massachusetts Amherst
    Amherst, MA
  • 09/2016 → 09/2019
    Bed Bath And Beyond
    Warwick, RI
  • 07/2018 → 08/2021
    American Eagle Outfitters
    Warwick, RI
  • 09/2015 → 06/2019
    Toll Gate High School
    Warwick, RI
  • 03/2025 → Present
    Bank Of America, N.A.
    Lincoln, RI
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-05-21
  • S66 Uniform Combined State Law Examination
    2025-05-21

View on SEC IAPD

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