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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 2025-09-09
NY RA APPROVED 2025-07-20
  • TX RA
    APPROVED
    Since 2025-09-09
  • NY RA
    APPROVED
    Since 2025-07-20

Branch Locations

254 W 57Th St, New York, NY 10107 • 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 York NY 05/2025 Present
Prodigy Consulting (Thor Marketing) New York NY 04/2023 03/2025
Prudential Myanmar Life Insurance Yangon 01/2020 08/2020
Kbz Bank Yangon 01/2017 01/2020
Synapse Original Yangon 01/2015 12/2016
Mba Full Time Education Yangon 10/2020 06/2021
Mba Full Time Education Madrid 09/2021 02/2022
Career Break (Unemployed) New York NY 03/2022 03/2023
Bank Of America, N.A. New York NY 07/2025 Present
  • 05/2025 → Present
    New York, NY
  • 04/2023 → 03/2025
    Prodigy Consulting (Thor Marketing)
    New York, NY
  • 01/2020 → 08/2020
    Prudential Myanmar Life Insurance
    Yangon
  • 01/2017 → 01/2020
    Kbz Bank
    Yangon
  • 01/2015 → 12/2016
    Synapse Original
    Yangon
  • 10/2020 → 06/2021
    Mba Full Time Education
    Yangon
  • 09/2021 → 02/2022
    Mba Full Time Education
    Madrid
  • 03/2022 → 03/2023
    Career Break (Unemployed)
    New York, NY
  • 07/2025 → Present
    Bank Of America, N.A.
    New York, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-04-07
  • S66 Uniform Combined State Law Examination
    2025-04-07

View on SEC IAPD

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