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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
NY RA APPROVED 2025-11-26
  • NY RA
    APPROVED
    Since 2025-11-26

Branch Locations

One Bryant Park, New York, NY 10036 • 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 New York NY 07/2025 Present
New York Sports Club Glendale NY 11/2024 07/2025
Euroitalia Elmhurst NY 08/2018 01/2025
Prudent Financial Solutions New York NY 10/2023 09/2024
Retro Fitness Glendale NY 05/2023 10/2023
Chestnut Hill College Philadelphia PA 08/2019 05/2023
Saint Francis Preparatory Fresh Medows NY 08/2015 08/2019
Bank Of America, N.A. New York NY 12/2025 Present
  • 07/2025 → Present
    New York, NY
  • 11/2024 → 07/2025
    New York Sports Club
    Glendale, NY
  • 08/2018 → 01/2025
    Euroitalia
    Elmhurst, NY
  • 10/2023 → 09/2024
    Prudent Financial Solutions
    New York, NY
  • 05/2023 → 10/2023
    Retro Fitness
    Glendale, NY
  • 08/2019 → 05/2023
    Chestnut Hill College
    Philadelphia, PA
  • 08/2015 → 08/2019
    Saint Francis Preparatory
    Fresh Medows, NY
  • 12/2025 → Present
    Bank Of America, N.A.
    New York, NY
Other Businesses

I*4661275 Entity Type: Entity Charitable Name of OBA: Chestnut Hill College/ Baseball team Address: Philadelphia, Pennsylvania, 19118 Investment Related: No Position, Title, Association: Other Employee Start Date: 06/15/2026 Number of Hours: 5, Monthly Number of Hours during trading: 0, Monthly Duties: Chestnut hill college is a private school in Philadelphia where i graduated from and played baseball for them. I would be the Alumni Ambassador for the baseball team. Help organize baseball alumni events such as golf outings, networking events, to help benefit the team.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-11-26
  • S66 Uniform Combined State Law Examination
    2025-11-26

View on SEC IAPD

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