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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 2026-08-21
NJ RA APPROVED 2026-06-08
  • TX RA
    APPROVED
    Since 2026-08-21
  • NJ RA
    APPROVED
    Since 2026-06-08

Branch Locations

1100-1800 American Blvd Ci Client Services, Pennington, NJ 08534 • 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
Southern Regional High School Manahawkin NJ 05/2015 04/2020
Bistro14 Beach Haven NJ 05/2020 08/2020
Black Whale Bar And Fish House Beach Haven NJ 09/2020 Present
New York Life Insurance Company Wall NJ 10/2025 03/2026
Nylife Securities Llc Wall NJ 01/2026 03/2026
Merrill Lynch, Pierce, Fenner & Smith Incorporated Pennington NJ 03/2026 Present
  • 05/2015 → 04/2020
    Southern Regional High School
    Manahawkin, NJ
  • 05/2020 → 08/2020
    Bistro14
    Beach Haven, NJ
  • 09/2020 → Present
    Black Whale Bar And Fish House
    Beach Haven, NJ
  • 10/2025 → 03/2026
    New York Life Insurance Company
    Wall, NJ
  • 01/2026 → 03/2026
    Nylife Securities Llc
    Wall, NJ
  • 03/2026 → Present
    Pennington, NJ
Other Businesses

I*4332265, Entity Type Entity For Profit, Name of OBA: Black Whale Bar and Fish House Address: Beach HavenNew Jersey08008 Investment Related: No Position, Title, Association: Employee Employee Start Date: 09/05/2020 No Hours: 6 Weekly No Hours during trading: 0 Duties: Bartend at the establishment, providing high levels of customer service and building relationships with clients. Restaurant that provides meals and drinks to clients. I*5593270 Entity Type: N/A Name of OBA: W G and T G Address: Manahawkin, New Jersey, 08050 Investment Related: No Position, Title, Association: Executor Employee Start Date: 08/27/2031 Number of Hours: 0, Yearly Number of Hours during trading: 0, Yearly Duties: Parents

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2026-06-05
  • S66 Uniform Combined State Law Examination
    2026-06-05
Other Names
  • Hank Gallacher

View on SEC IAPD

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