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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 |
|---|---|---|---|
| HI | RA | APPROVED | 2023-02-27 |
| CA | RA | APPROVED | 2010-12-02 |
| TX | RA | APPROVED_RES | 1995-01-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Phoenix | AZ | 09/1992 | Present |
| Bank Of America, N.A. | Phoenix | AZ | 11/2009 | Present |
I*62910FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: MAUNA AKEA LLCINVESTMENT RELATED: YADDRESS OF BUSINESS:PHOENIX, ARIZONA 85016NATURE OF BUSINESS: LLC,POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 5/2/2013NUMBER OF HOURS DEVOTED: 15 HOUR(S) MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: THIS IS A NEW SINGLE MEMBER LLC THAT I FORMER TO HOLD A RENTAL PROPERTY I*1020396For profit or not for profit: Entity For ProfitName of outside business organization: SPARTAN Partners LLCInvestment related: YAddress of business: Phoenix, Arizona, 85016Nature of business: ["Limited Liability Company"]Position, title, association: ["General Partner/Managing Member"], Start date of relationship: 10/4/2022Number of hours devoted: 1 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: , management of unimproved land in OR I*405730, Entity Type: Entity For Profit, Name of OBA: Mauna Akea LLC, Address: Phoenix, Arizona, 85016, Investment Related: N, Position, Title, Association: General Partner/Managing Member, Employee State Date: 05/02/2013, No Hours: 15 Yearly, No Hours during Trading: 0 Yearly, Duties: I oversee a property manager's activities for this rental property LLC, I am the sole owner of this rental property LLC, which was disclosed originally in 2013.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-04-17 |
| S63 | Uniform Securities Agent State Law Examination | 1992-11-24 |
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