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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 2026-06-05
IL RA APPROVED 2026-04-09
  • TX RA
    APPROVED
    Since 2026-06-05
  • IL RA
    APPROVED
    Since 2026-04-09

Branch Locations

110 N Wacker Dr Pbig - Chicago, Chicago, IL 60606 • United States

One Bryant Park, New York, NY 10036 • 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 Chicago IL 02/2026 Present
University Of Illinois Urbana-Champaign Champaign IL 08/2023 01/2026
College Of Dupage Dupage IL 08/2022 07/2023
University Of Illinois At Urbana-Champaign Champaign IL 01/2024 05/2025
Merrill Lynch, Pierce, Fenner & Smith Incoporated Chicago IL 06/2025 08/2025
Skyward Building Services Downers Grove IL 06/2024 08/2024
Fossil Group Incorporated Aurora IL 12/2023 08/2024
Nordstrom Naperville IL 05/2023 01/2024
Metea Valley High-School Aurora IL 08/2021 07/2022
Waubonsie Valley High-School Aurora IL 08/2020 07/2021
Preparatoria Anahuac Mexico Mexico City 08/2019 07/2020
Robert Bateman Secondary School Abbotsford 08/2018 07/2019
Instituto Rosedal Mexico Mexico City 08/2015 07/2018
  • 02/2026 → Present
    Chicago, IL
  • 08/2023 → 01/2026
    University Of Illinois Urbana-Champaign
    Champaign, IL
  • 08/2022 → 07/2023
    College Of Dupage
    Dupage, IL
  • 01/2024 → 05/2025
    University Of Illinois At Urbana-Champaign
    Champaign, IL
  • 06/2025 → 08/2025
    Merrill Lynch, Pierce, Fenner & Smith Incoporated
    Chicago, IL
  • 06/2024 → 08/2024
    Skyward Building Services
    Downers Grove, IL
  • 12/2023 → 08/2024
    Fossil Group Incorporated
    Aurora, IL
  • 05/2023 → 01/2024
    Nordstrom
    Naperville, IL
  • 08/2021 → 07/2022
    Metea Valley High-School
    Aurora, IL
  • 08/2020 → 07/2021
    Waubonsie Valley High-School
    Aurora, IL
  • 08/2019 → 07/2020
    Preparatoria Anahuac Mexico
    Mexico City
  • 08/2018 → 07/2019
    Robert Bateman Secondary School
    Abbotsford
  • 08/2015 → 07/2018
    Instituto Rosedal Mexico
    Mexico City
Other Businesses

I*: 2544265 Entity Type: For Profit Name of the other business: Arce Properties LLC Whether the business is investment-related: No Address of the other business Aurora, IL Title, or relationship with the other business: Owner Start date of your relationship: 05/09/2023 Approximate number of hours/month you devote to the other business: 4 hrs mthly Number of hours you devote to the other business during securities trading hours: 0 Duties relating to the other business: A small family-owned LLC managing two residential rental apartments in West Palm Beach, Florida. Owned and actively managed by it's 2 members, my dad with 90% and me with 10%. Both handling day-to-day operations directly.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2026-04-09
  • S66 Uniform Combined State Law Examination
    2026-04-09
Other Names
  • Ana Paula Sissi Arce Herrera

View on SEC IAPD

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