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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
CA RA APPROVED 2018-05-02
TX RA APPROVED 2016-10-24
WA RA APPROVED 2016-10-21
  • CA RA
    APPROVED
    Since 2018-05-02
  • TX RA
    APPROVED
    Since 2016-10-24
  • WA RA
    APPROVED
    Since 2016-10-21

Branch Locations

333 S Hope St, Los Angeles, CA 90071 • 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 Bellevue WA 10/2016 04/2018
Photographer (Self Employed) Renton WA 03/2013 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Los Angeles CA 04/2018 Present
Bank Of America, N.A. Los Angeles CA 04/2024 Present
Previous Registrations
Other Businesses

I*547335 For profit or not for profit: Entity For Profit Name of outside business organization: KAM VEAKRAKMANN PHOTOGRAPHY Investment related: N Address of business: BREA, California, 92821 Nature of business: ["Sole Proprietorship"] Position, title, association: ["Owner"], Start date of relationship: 10/15/2021 Number of hours devoted: 4 hour(s) Weekly Number of hours devoted during trading hours: 0 Duties: , PHOTOGRAPHY SERVICES

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-11-21
  • S66 Uniform Combined State Law Examination
    2006-11-21
Other Names
  • Sath Kam
  • Kam Veakrakmann

View on SEC IAPD

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