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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-10-03 |
| NY | RA | APPROVED | 2024-09-06 |
Branch Locations
Rockville Centre, NY • United States
300 Broadhollow Rd, Melville, NY 11747 • United States
75 Rockefeller Plz, New York, NY 10019 • United States
2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jp Morgan Securities Llc | Mineola | NY | 03/2016 | 11/2023 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 08/2024 | Present |
| Unemployeed | Rockville Centre | NY | 12/2023 | 08/2024 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-05-26 |
| S63 | Uniform Securities Agent State Law Examination | 1992-09-09 |
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