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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 | 2025-03-14 |
| NY | RA | APPROVED | 2025-03-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-11-19 |
| S63 | Uniform Securities Agent State Law Examination | 2023-07-13 |
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