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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 |
|---|---|---|---|
| NJ | RA | APPROVED | 2024-10-18 |
| NY | RA | APPROVED | 2021-04-19 |
Branch Locations
75 Rockefeller Plz, New York, NY 10019 • United States
Manalapan, NJ • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 06/1989 | Present |
| Bank Of America, Na | New York | NY | 09/2009 | Present |
I*2215279, Entity Type: , Name of OBA: M D, Address: Manalapan, New Jersey, 07726, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 20-Sep-2024, No Hours: 1 Yearly, No Hours during Trading: 1 Yearly, Duties:
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-08-07 |
| S63 | Uniform Securities Agent State Law Examination | 1996-05-31 |
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