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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 |
|---|---|---|---|
| VT | RA | APPROVED | 2020-11-30 |
| TX | RA | APPROVED_RES | 2012-01-24 |
| NJ | RA | APPROVED | 2005-04-26 |
Branch Locations
100 Federal St, Boston, MA 02110 • United States
Stowe, VT • United States
Marblehead, MA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Boston | MA | 10/1993 | Present |
| Bank Of America, N.A. | Boston | MA | 07/2011 | Present |
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
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-04-25 |
| S63 | Uniform Securities Agent State Law Examination | 1991-10-23 |
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