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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
CA RA APPROVED 2025-10-03
  • CA RA
    APPROVED
    Since 2025-10-03

Branch Locations

555 California St, San Francisco, CA 94104 • 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 San Francisco CA 07/2025 Present
Nextgen Properties Santa Clarita CA 04/2024 07/2025
Haymaker Vfx Los Angeles CA 04/2022 04/2024
Sweetflower Los Angeles CA 05/2020 03/2021
Hofstra University Hempstead NY 07/2015 05/2019
Unemployed Hempstead NY 06/2019 04/2020
Unemployed Los Angeles CA 04/2021 03/2022
Bank Of America, N.A. San Francisco CA 01/2026 Present
  • 07/2025 → Present
    San Francisco, CA
  • 04/2024 → 07/2025
    Nextgen Properties
    Santa Clarita, CA
  • 04/2022 → 04/2024
    Haymaker Vfx
    Los Angeles, CA
  • 05/2020 → 03/2021
    Sweetflower
    Los Angeles, CA
  • 07/2015 → 05/2019
    Hofstra University
    Hempstead, NY
  • 06/2019 → 04/2020
    Unemployed
    Hempstead, NY
  • 04/2021 → 03/2022
    Unemployed
    Los Angeles, CA
  • 01/2026 → Present
    Bank Of America, N.A.
    San Francisco, CA
Other Businesses

I*4564319 Entity Type: Entity Charitable Name of OBA: BAYCAT Address: San Francisco, California, 94107 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 06/30/2026 Number of Hours: 40, Yearly Number of Hours during trading: 0, Yearly Duties: BAYCAT is an organization that helps underprivileged kids get into careers in entertainment and media. It also serves as an afterschool place for kids to go to jumpstart careers in general. 40 hours per year, divided over quarterly board meetings and once a month committee meetings. Most of these are happening after work hours. On the board I will be serving more of a governance role, helping the directors of BAYCAT make informed decisions while not actively making the decisions. On the two committees that I am thinking about, the finance committee I would have eyes on the books and help BAYCAT make informed financial decisions. Whether that be payroll or event costs etc. On the programming committee I would offer ideas to what events BAYCAT should run for that given year and how the execution of the events should go. Some of the events could include Better Money habits brown bag, Resume Reviews, Mock interviews. Additionally I would have a hand in planning events that are specific to entertainment career growth.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-10-02
  • S66 Uniform Combined State Law Examination
    2025-10-02
Other Names
  • Nicholas R Hoult

View on SEC IAPD

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