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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
NY RA APPROVED 2021-04-19
TX RA APPROVED_RES 2011-03-04
CT RA APPROVED 2009-10-30
NJ RA APPROVED 2009-10-30
  • NY RA
    APPROVED
    Since 2021-04-19
  • TX RA
    APPROVED_RES
    Since 2011-03-04
  • CT RA
    APPROVED
    Since 2009-10-30
  • NJ RA
    APPROVED
    Since 2009-10-30

Branch Locations

55 Railroad Ave, Greenwich, CT 06830 • United States

300 Broadhollow Rd, Melville, NY 11747 • 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
Bank Of America, N.A. New York NY 01/2005 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated New York NY 10/2009 Present
Previous Registrations
  • 2005-04-20 → 2009-10-23
    Banc Of America Investment Services, Inc.
    New York, NY
    New York, NY
Other Businesses

I*476977, Entity Type Entity Governmental, Name of OBA: Hirshhorn Museum and Sculpture Garden Address: WashingtonDistrict of Columbia20013 Investment Related: No Position, Title, Association: Committee,Director Employee Start Date: 12/04/2017 No Hours: 4 monthly No Hours during trading: 1.67 monthly Duties: serving as director on the board of trustees, non-profit museum

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-03-25
S63 Uniform Securities Agent State Law Examination 1993-09-10
  • S66 Uniform Combined State Law Examination
    2005-03-25
  • S63 Uniform Securities Agent State Law Examination
    1993-09-10
Other Names
  • Trinh Doan
  • Trinh Duc Duong Doan

View on SEC IAPD

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