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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| GA | RA | APPROVED | 2014-08-28 |
Branch Locations
1 disclosure category 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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Alpharetta | GA | 04/2014 | Present |
I*3086269 Entity Type: N/A Name of OBA: L.S.S. Address: Alpharetta, Georgia, 30005 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 12/20/2024 Number of Hours: 5, Monthly Number of Hours during trading: 2, Monthly Duties: Power of Attorney for Child/Grandchild I*3085264, Entity Type, fiduciary role Name of OBA:Succession of Estate of N S, Address:Alpharetta,Georgia,30005, Investment Related:no, Position, Title, Association:Administrator, Employee Start Date:06/03/2025, No Hours:5 monthly. No Hours during trading: 1 monthly Duties: Administrator,/Child/Grandchild
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2008-07-24 |
| S65 | Uniform Investment Adviser Law Examination | 1999-04-06 |
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