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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 2026-08-04
VA RA APPROVED 2026-07-02
  • TX RA
    APPROVED
    Since 2026-08-04
  • VA RA
    APPROVED
    Since 2026-07-02

Branch Locations

8097 Villa Park Dr, Richmond, VA 23228 • United States

8075 Leesburg Pike, Vienna, VA 22182 • 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 Richmond VA 02/2026 Present
Bank Of America Centerville UT 01/2023 10/2024
Bank Of America Centerville UT 10/2024 07/2025
Bank Of America Glen Allen VA 07/2025 02/2026
Supreme Lending Salt Lake City UT 06/2022 01/2023
Parad Llc Moscow 06/2014 06/2022
Flower Imagination Salt Lake City UT 07/2021 06/2022
Bank Of America, N.A. Richmond VA 03/2026 Present
  • 02/2026 → Present
    Richmond, VA
  • 01/2023 → 10/2024
    Bank Of America
    Centerville, UT
  • 10/2024 → 07/2025
    Bank Of America
    Centerville, UT
  • 07/2025 → 02/2026
    Bank Of America
    Glen Allen, VA
  • 06/2022 → 01/2023
    Supreme Lending
    Salt Lake City, UT
  • 06/2014 → 06/2022
    Parad Llc
    Moscow
  • 07/2021 → 06/2022
    Flower Imagination
    Salt Lake City, UT
  • 03/2026 → Present
    Bank Of America, N.A.
    Richmond, VA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2026-07-02
  • S66 Uniform Combined State Law Examination
    2026-07-02

View on SEC IAPD

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