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Daniel Stewert Gray

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Charlotte, NC

Fort Mill, SC

Atlanta, GA

Tega Cay, SC

CRD 2088083

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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_RES 2013-01-28
NC RA APPROVED 2009-10-23
SC RA APPROVED 2009-10-23
  • TX RA
    APPROVED_RES
    Since 2013-01-28
  • NC RA
    APPROVED
    Since 2009-10-23
  • SC RA
    APPROVED
    Since 2009-10-23

Branch Locations

6000 Fairview Rd, Charlotte, NC 28210 • United States

115 Tom Hall St, Fort Mill, SC 29715 • United States

3455 Peachtree Rd Ne Division - Southeast, Atlanta, GA 30326 • United States

Tega Cay, SC • 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 Charlotte NC 10/2009 Present
Previous Registrations
  • 2004-10-20 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Charlotte, NC
    Charlotte, NC
  • 2002-09-04 → 2004-10-20
    Quick & Reilly, Inc.
    Charlotte, NC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-07-13
S63 Uniform Securities Agent State Law Examination 1990-09-07
  • S65 Uniform Investment Adviser Law Examination
    2001-07-13
  • S63 Uniform Securities Agent State Law Examination
    1990-09-07

View on SEC IAPD

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