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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
OH RA APPROVED 2025-07-25
TX RA APPROVED 2025-07-21
IN RA APPROVED 2025-06-23
  • OH RA
    APPROVED
    Since 2025-07-25
  • TX RA
    APPROVED
    Since 2025-07-21
  • IN RA
    APPROVED
    Since 2025-06-23

Branch Locations

4040 W State Route 22 3, Loveland, OH 45140 • 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 New Albany NY 04/2025 Present
Petsmart South Lebanon OH 03/2020 04/2025
Gnc Wilmington OH 11/2018 03/2020
Bob Evan's Restaurant Wilmington OH 05/2017 10/2018
Wendy's Wilmington OH 01/2017 03/2017
Wilmington High School Wilmington OH 08/2015 05/2019
University Of Cincinnati Cincinnati OH 08/2019 12/2019
Wilmington College Wilmington OH 01/2020 05/2021
University Of Cincinnati Cincinnati OH 01/2022 12/2024
Bank Of America, N.A. New Albany NY 06/2025 Present
  • 04/2025 → Present
    New Albany, NY
  • 03/2020 → 04/2025
    Petsmart
    South Lebanon, OH
  • 11/2018 → 03/2020
    Gnc
    Wilmington, OH
  • 05/2017 → 10/2018
    Bob Evan's Restaurant
    Wilmington, OH
  • 01/2017 → 03/2017
    Wendy's
    Wilmington, OH
  • 08/2015 → 05/2019
    Wilmington High School
    Wilmington, OH
  • 08/2019 → 12/2019
    University Of Cincinnati
    Cincinnati, OH
  • 01/2020 → 05/2021
    Wilmington College
    Wilmington, OH
  • 01/2022 → 12/2024
    University Of Cincinnati
    Cincinnati, OH
  • 06/2025 → Present
    Bank Of America, N.A.
    New Albany, NY
Other Businesses

I*3167269 Entity Type: Entity For Profit Name of OBA: eBay Address: San Jose, California, 95125 Investment Related: No Position, Title, Association: Other Employee Start Date: 11/21/2025 Number of Hours: 2, Monthly Number of Hours during trading: 0, Monthly Duties: Reselling collectible trading cards Listing and shipping collectibles outside of business hours

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-06-23
  • S66 Uniform Combined State Law Examination
    2025-06-23

View on SEC IAPD

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