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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
VT RA APPROVED 2020-11-30
TX RA APPROVED_RES 2012-01-24
NJ RA APPROVED 2005-04-26
  • VT RA
    APPROVED
    Since 2020-11-30
  • TX RA
    APPROVED_RES
    Since 2012-01-24
  • NJ RA
    APPROVED
    Since 2005-04-26

Branch Locations

100 Federal St, Boston, MA 02110 • United States

Stowe, VT • United States

Marblehead, MA • 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 Boston MA 10/1993 Present
Bank Of America, N.A. Boston MA 07/2011 Present
Other Businesses

I*2228282, Entity Type: For Profit, Name of OBA: TBD attorney drafting now, Address: Block Island, Rhode Island, 02807, Investment Related: No, Position, Title, Association: Owner, Employee State Date: 03/04/2025, No Hours: 2 Yearly, No Hours during Trading: 2 Yearly, Duties: Summer home rental owned with my sister. I*: 2434289 Entity Type: Fiduciary Name of OBA: Estate of R. T. Address: Marblehead, Massachusetts, 01945 Investment Related: No Position, Title, Association: Executor Employee Start Date: 5/1/2025 Number of Hours: 10hrs annually Number of Hours during trading: 0 Duties: Executor for parents

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-04-25
S63 Uniform Securities Agent State Law Examination 1991-10-23
  • S65 Uniform Investment Adviser Law Examination
    2005-04-25
  • S63 Uniform Securities Agent State Law Examination
    1991-10-23
Other Names
  • G Eric Thornton
  • George E Thornton
  • George Eric Thornton
  • G. Eric Thornton
  • G E Thornton

View on SEC IAPD

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