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Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691
$1.78T regulatory AUM 16,844 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2012-05-08 |
| TX | RA | APPROVED | 2012-04-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Sarasota | FL | 04/2012 | Present |
| Bank Of America, N.A. | Sarasota | FL | 05/2012 | Present |
I*2026413, Entity Type, Entity for Profit, Name of OBA: Gimme LLC, Address: Sarasota, FL, 34238, Investment Related: No, Position, Title, Association: Officer, Employee Start Date: 02/26/2019, No Hours: 10hrs/Ann, No Hours during trading: 0, Duties: LLC only owns a secondary home in NJ for asset protection.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-03-02 |
| S63 | Uniform Securities Agent State Law Examination | 1992-10-02 |
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