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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 2025-10-07
CO RA APPROVED 2025-09-22
  • TX RA
    APPROVED
    Since 2025-10-07
  • CO RA
    APPROVED
    Since 2025-09-22

Branch Locations

9025 Howell St , Arvada, CO 80005 • 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 Greenwood Village CO 02/2021 Present
Macy's Dallas TX 02/2019 02/2021
Starbucks Dallas TX 04/2020 12/2020
Fsg Group Llc Dallas TX 05/2019 07/2019
Unemployed Dallas TX 12/2018 02/2019
Dillards Inc Dallas TX 07/2018 12/2018
Ulta Beauty Dallas TX 06/2014 08/2018
Sprouts Farmer's Market Dallas TX 07/2017 08/2017
Colorado State University Global Campus Denver CO 01/2024 Present
University Of Maryland Global Adelphi MD 02/2023 12/2023
Texas Women's University Denton TX 01/2017 05/2017
Vernon College Wichita Falls TX 01/2016 12/2016
Bank Of America, N.A. Greenwood Village CO 09/2025 Present
  • 02/2021 → Present
    Greenwood Village, CO
  • 02/2019 → 02/2021
    Macy's
    Dallas, TX
  • 04/2020 → 12/2020
    Starbucks
    Dallas, TX
  • 05/2019 → 07/2019
    Fsg Group Llc
    Dallas, TX
  • 12/2018 → 02/2019
    Unemployed
    Dallas, TX
  • 07/2018 → 12/2018
    Dillards Inc
    Dallas, TX
  • 06/2014 → 08/2018
    Ulta Beauty
    Dallas, TX
  • 07/2017 → 08/2017
    Sprouts Farmer's Market
    Dallas, TX
  • 01/2024 → Present
    Colorado State University Global Campus
    Denver, CO
  • 02/2023 → 12/2023
    University Of Maryland Global
    Adelphi, MD
  • 01/2017 → 05/2017
    Texas Women's University
    Denton, TX
  • 01/2016 → 12/2016
    Vernon College
    Wichita Falls, TX
  • 09/2025 → Present
    Bank Of America, N.A.
    Greenwood Village, CO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-08-28
  • S66 Uniform Combined State Law Examination
    2025-08-28
Other Names
  • Scotty Tremaine
  • Michael Scott Tremaine

View on SEC IAPD

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