Best Investors Account Sign in
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
TX RA APPROVED 2025-03-14
NY RA APPROVED 2025-03-05
  • TX RA
    APPROVED
    Since 2025-03-14
  • NY RA
    APPROVED
    Since 2025-03-05

Branch Locations

One Bryant Park, New York, NY 10036 • 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
Lehman Brothers Inc New York NY 08/2000 06/2023
Ba Securities, Llc W. Conshohocken PA 06/2023 04/2024
Unemployed Greenwich CT 02/2019 05/2023
Sanderson Asset Management London 02/2019 01/2020
Unemployed London 05/2017 12/2017
Trinity Street Asset Management London 08/2013 04/2017
Ba Securities, Llc W. Conshohocken PA 11/2024 02/2025
Unemployed Greenwich CT 05/2024 10/2024
Merrill Lynch, Pierce, Fenner & Smith Incorporated New York NY 02/2025 Present
Bank Of America, N.A. New York NY 04/2025 Present
  • 08/2000 → 06/2023
    Lehman Brothers Inc
    New York, NY
  • 06/2023 → 04/2024
    Ba Securities, Llc
    W. Conshohocken, PA
  • 02/2019 → 05/2023
    Unemployed
    Greenwich, CT
  • 02/2019 → 01/2020
    Sanderson Asset Management
    London
  • 05/2017 → 12/2017
    Unemployed
    London
  • 08/2013 → 04/2017
    Trinity Street Asset Management
    London
  • 11/2024 → 02/2025
    Ba Securities, Llc
    W. Conshohocken, PA
  • 05/2024 → 10/2024
    Unemployed
    Greenwich, CT
  • 02/2025 → Present
    New York, NY
  • 04/2025 → Present
    Bank Of America, N.A.
    New York, NY
Other Businesses

I*: 2249273 Entity Type: Rental Property Name of OBA: Rental Property 1 Address: London, United Kingdom Investment Related: No Position, Title, Association: Sole owner Employee Start Date: 02/24/2025 Number of Hours: 6 hrs annually Number of Hours during trading: 0 Duties: Sole owner of rental property I*3796266 Entity Type: Charitable Name of OBA: Indian Harbor Yacht Club Address: Greenwich, Connecticut, 6830 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 02/17/2026 Number of Hours: 8, Monthly Number of Hours during trading: 0 Duties: Yacht Club I am the Regatta Chair and Board Director. In this role I organize all the sailing activities of the Club.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-11-19
S63 Uniform Securities Agent State Law Examination 2023-07-13
  • S66 Uniform Combined State Law Examination
    2024-11-19
  • S63 Uniform Securities Agent State Law Examination
    2023-07-13
Other Names
  • Sean Desmond Landers

View on SEC IAPD

More in New York, NY

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor