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Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars
  • PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
HI RA APPROVED 2023-02-27
CA RA APPROVED 2010-12-02
TX RA APPROVED_RES 1995-01-05
  • HI RA
    APPROVED
    Since 2023-02-27
  • CA RA
    APPROVED
    Since 2010-12-02
  • TX RA
    APPROVED_RES
    Since 1995-01-05

Branch Locations

2555 E Camelback Rd, Phoenix, AZ 85016 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Phoenix AZ 09/1992 Present
Bank Of America, N.A. Phoenix AZ 11/2009 Present
Other Businesses

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.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-04-17
S63 Uniform Securities Agent State Law Examination 1992-11-24
  • S65 Uniform Investment Adviser Law Examination
    1995-04-17
  • S63 Uniform Securities Agent State Law Examination
    1992-11-24
Other Names
  • Greg Huyck
  • Greg Alan Huyck

View on SEC IAPD

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