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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 2026-02-12
NJ RA APPROVED 2025-12-22
  • TX RA
    APPROVED
    Since 2026-02-12
  • NJ RA
    APPROVED
    Since 2025-12-22

Branch Locations

1100-1800 American Blvd Ci Client Services, Pennington, NJ 08534 • 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 Pennington NJ 08/2025 Present
National Pools And Spas Robbinsville NJ 03/2017 05/2019
Unemployed/Highschool Education Robbinsville NJ 05/2019 08/2020
Unemployed/University Education South Orange NJ 08/2020 08/2021
Civic Operations Group Newark NJ 08/2021 09/2021
Unemployed/University Education South Orange NJ 09/2021 01/2023
Peace Corps Washington DC 01/2023 05/2023
Syracuse University Syracuse NY 05/2023 07/2023
Seton Hall University South Orange NJ 08/2023 12/2023
Sunshine Tutoring South Orange NJ 01/2024 03/2024
Foremost Catering New York City NY 01/2023 05/2023
New Jersey Tutoring Corps Paterson NJ 04/2024 05/2024
Unemployed Yardley PA 05/2024 07/2024
Third Bridge New York City NY 07/2024 11/2024
New Jersey Tutoring Corps Hamilton NJ 12/2024 01/2025
Claremont Institute Washington DC 02/2025 05/2025
Unemployed Yardley PA 05/2025 08/2025
Unemployed Robbinsville NJ 03/2015 03/2017
  • 08/2025 → Present
    Pennington, NJ
  • 03/2017 → 05/2019
    National Pools And Spas
    Robbinsville, NJ
  • 05/2019 → 08/2020
    Unemployed/Highschool Education
    Robbinsville, NJ
  • 08/2020 → 08/2021
    Unemployed/University Education
    South Orange, NJ
  • 08/2021 → 09/2021
    Civic Operations Group
    Newark, NJ
  • 09/2021 → 01/2023
    Unemployed/University Education
    South Orange, NJ
  • 01/2023 → 05/2023
    Peace Corps
    Washington, DC
  • 05/2023 → 07/2023
    Syracuse University
    Syracuse, NY
  • 08/2023 → 12/2023
    Seton Hall University
    South Orange, NJ
  • 01/2024 → 03/2024
    Sunshine Tutoring
    South Orange, NJ
  • 01/2023 → 05/2023
    Foremost Catering
    New York City, NY
  • 04/2024 → 05/2024
    New Jersey Tutoring Corps
    Paterson, NJ
  • 05/2024 → 07/2024
    Unemployed
    Yardley, PA
  • 07/2024 → 11/2024
    Third Bridge
    New York City, NY
  • 12/2024 → 01/2025
    New Jersey Tutoring Corps
    Hamilton, NJ
  • 02/2025 → 05/2025
    Claremont Institute
    Washington, DC
  • 05/2025 → 08/2025
    Unemployed
    Yardley, PA
  • 03/2015 → 03/2017
    Unemployed
    Robbinsville, NJ
Other Businesses

I*4334269, Entity Type: Entity For Profit, Name of OBA: Penny Vending L.L.C., Address: Trenton, New Jersey, 08691, Investment Related: N, Position, Title, Association: Owner, Employee Start Date: 03/22/2026, No Hours: 8 Weekly, No Hours during Trading: 0 Weekly, Duties: Install and service vending machines on Saturdays and Sundays. Install and service vending machines

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-12-19
  • S66 Uniform Combined State Law Examination
    2025-12-19

View on SEC IAPD

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