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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 |
|---|---|---|---|
| NC | RA | APPROVED | 2002-09-23 |
| TX | RA | APPROVED_RES | 1996-05-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Raleigh | NC | 08/1993 | Present |
| Bank Of America, N.A. | Raleigh | NC | 07/2011 | Present |
I*31789 For profit or not for profit: Non-Profit Organization Name of outside business organization: Continuous Blessings Foundation Investment related: N Address of business: Raleigh, North Carolina 27615 Nature of business: Charitable Organization,Non Profit Position, title, association: Advisory Board Member, Start date of relationship: 1/2/2008 Number of hours devoted: 40 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: Officer To provide for underpriveleged children in the greater Raleigh NC area
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-09-17 |
| S63 | Uniform Securities Agent State Law Examination | 1993-12-31 |
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