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CRD 2322412
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 |
|---|---|---|---|
| NY | RA | APPROVED | 2023-06-28 |
| IL | RA | APPROVED | 2021-04-22 |
| TX | RA | APPROVED_RES | 2013-02-06 |
| MI | RA | APPROVED | 2012-11-09 |
| OH | RA | APPROVED | 2010-01-19 |
| NJ | RA | APPROVED | 2008-10-27 |
| GA | RA | APPROVED | 2005-07-11 |
| SC | RA | APPROVED | 2005-07-05 |
| DC | RA | APPROVED | 1994-06-04 |
Branch Locations
One Bryant Park, New York, NY 10036 • United States
225 Liberty St , New York, NY 10281 • United States
One Bryant Park Pbig - New York, New York, NY 10036 • United States
Mt Pleasant, SC • United States
One Bryant Park Pbig - Ny Midtown, New York, NY 10036 • United States
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 | Washington | DC | 02/1993 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-04-30 |
| S63 | Uniform Securities Agent State Law Examination | 1993-04-16 |
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