Best Investors Account Sign in
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
CA RA APPROVED 2025-10-23
  • CA RA
    APPROVED
    Since 2025-10-23

Branch Locations

One Bryant Park, New York, NY 10036 • UNITED STATES

275 E Rivulon Blvd, Gilbert, AZ 85297 • 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 Scottsdale AZ 07/2025 Present
Scottsdale Christina Academy Phoenix AZ 08/2007 06/2018
Liberty University Online Academy Lynchburg VA 06/2018 05/2020
Liberty University Lynchburg VA 05/2020 05/2025
Ngp Business Consulting Llc Mesa AZ 10/2023 08/2025
Bank Of America, N.A. Scottsdale AZ 01/2026 Present
  • 07/2025 → Present
    Scottsdale, AZ
  • 08/2007 → 06/2018
    Scottsdale Christina Academy
    Phoenix, AZ
  • 06/2018 → 05/2020
    Liberty University Online Academy
    Lynchburg, VA
  • 05/2020 → 05/2025
    Liberty University
    Lynchburg, VA
  • 10/2023 → 08/2025
    Ngp Business Consulting Llc
    Mesa, AZ
  • 01/2026 → Present
    Bank Of America, N.A.
    Scottsdale, AZ
Other Businesses

I*2676261, Entity Type: Entity For Profit, Name of OBA: NGP Business Consulting LLC, Address: Mesa, Arizona, 85215, Investment Related: N, Position, Title, Association: Office, Owner, Employee State Date: 07/31/2025, No Hours: 0 Yearly, No Hours during Trading: 0 Yearly, Duties: I will not be doing any work under this LLC. The LLC is NOT in use anymore. 0 hours of work. It was a business consulting business that was used primary assisting lawyers with administrative tasks, trial preparations, and billing their time to the government (CJA) for criminal defense attorneys.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-10-23
  • S66 Uniform Combined State Law Examination
    2025-10-23

View on SEC IAPD

More in New York, NY

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor