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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
CT RA APPROVED 2009-10-30
  • CT RA
    APPROVED
    Since 2009-10-30

Branch Locations

One Bryant Park, New York, NY 10036 • UNITED STATES

2221 Washington St Ste 300, Newton, MA 02462 • 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 Newton MA 10/2009 Present
Bank Of America,N.A. Newton MA 06/2011 Present
Previous Registrations
  • 2004-10-20 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Newton, MA
    Norwood, MA
    Norwood, MA
    Walpole, MA
    Dedham, MA
    Newton, MA
    Newton, MA
    Dedham, MA
    Norwood, MA
    Medfield, MA
  • 2002-08-29 → 2004-10-20
    Quick & Reilly, Inc.
    Norwood, MA
Other Businesses

I*3818270 Entity Type: N/A Name of OBA: M A B Address: Duxbury, Massachusetts Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 02/10/2026 Number of Hours: 1, Yearly Number of Hours during trading: 0, Yearly Duties: Parents

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-02-08
S63 Uniform Securities Agent State Law Examination 1996-05-22
  • S65 Uniform Investment Adviser Law Examination
    2001-02-08
  • S63 Uniform Securities Agent State Law Examination
    1996-05-22
Other Names
  • Laura Mary Binsfield

View on SEC IAPD

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