Best Investors
Account
Sign in
Best Investors
Account
Sign in
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 |
|---|---|---|---|
| IL | RA | APPROVED | 2025-07-21 |
| NC | RA | APPROVED | 2024-12-06 |
| CA | RA | APPROVED | 2019-05-08 |
| DC | RA | APPROVED | 2009-07-09 |
| TX | RA | APPROVED_RES | 2009-03-27 |
| MD | RA | APPROVED | 2008-03-05 |
| VA | RA | APPROVED | 1993-11-04 |
Branch Locations
110 N Wacker Dr Pbig - Chicago, Chicago, IL 60606 • 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 | Norfolk | VA | 06/1993 | Present |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Washington | DC | 06/1993 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-10-20 |
| S63 | Uniform Securities Agent State Law Examination | 1993-09-30 |
Reach out to this advisor