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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_RES 2025-08-25
NY RA APPROVED 2025-07-10
  • TX RA
    APPROVED_RES
    Since 2025-08-25
  • NY RA
    APPROVED
    Since 2025-07-10

Branch Locations

9053 Sutphin Blvd, Jamaica, NY 11435 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Astoria NY 01/2025 Present
Td Bank Whitestone NY 02/2022 09/2022
Bank Of America Jamaica NY 05/2018 02/2022
Citibank Bayside NY 04/2014 03/2018
Bank Of America Sunnyside NY 09/2022 01/2025
Bank Of America, N.A. Astoria NY 04/2025 Present
  • 01/2025 → Present
    Astoria, NY
  • 02/2022 → 09/2022
    Td Bank
    Whitestone, NY
  • 05/2018 → 02/2022
    Bank Of America
    Jamaica, NY
  • 04/2014 → 03/2018
    Citibank
    Bayside, NY
  • 09/2022 → 01/2025
    Bank Of America
    Sunnyside, NY
  • 04/2025 → Present
    Bank Of America, N.A.
    Astoria, NY
Other Businesses

I*: 2277271 Entity Type: Rental Property Name: Rental Property 1 Investment related: No Address of business: Valley Stream, New York, 11580 Position, title, association: Co-owner with other family members Start date of relationship: 01-Jan-2025 Number of hours devoted: 0 Number of hours devoted during trading hours: 0 Duties: Landlord

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-07-10
  • S66 Uniform Combined State Law Examination
    2025-07-10
Other Names
  • Gianfranco Steven Saboya Guzman

View on SEC IAPD

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