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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-01-05 |
| NJ | RA | APPROVED | 2022-12-09 |
Branch Locations
401 N Tryon St Ci Relationship Management, Charlotte, NC 28255 • United States
Livingston, NJ • United States
1100-1800 American Blvd Ci Relationship Management, Pennington, NJ 08534 • 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 |
|---|---|---|---|---|
| The Vertical Group | New York | NY | 12/2012 | 02/2017 |
| Maxim Group Llc | New York | NY | 03/2017 | 04/2021 |
| Icap Corporates Llc | Edison | NJ | 11/2021 | Present |
| Unemployed | Livingston | NJ | 04/2021 | 11/2021 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Pennington | NJ | 09/2022 | Present |
| Bank Of America, N.A. | Pennington | NJ | 12/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-12-08 |
| S63 | Uniform Securities Agent State Law Examination | 1993-09-22 |
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