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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 | 2022-10-12 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors, Llc | Houston | TX | 03/2013 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Houston | TX | 11/2016 | 08/2022 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Houston | TX | 08/2022 | Present |
| Bank Of America N.A. | Houston | TX | 10/2022 | Present |
CYPRESS FOREST LAKES HOA, NOT INVT RELATED, HUMBLE, TX, BOARD MEMBER, START DATE 3/1/2020, 2 HRS PER MONTH, 0 HRS DURING TRADING, ATTENDING MEETINGS TO DISCUSS NEIGHBORHOOD ISSUES, LANDSCAPING AND HOME OWNER IMPROVEMENTS. I*: 2134258 Entity Type: Governmental or Public Entity Name of OBA: Harris County Water Control and Improvement District No. 110 Address: Spring, TX 77306 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 02/01/2025 Number of Hours: 4 hrs mthly Number of Hours during trading: 0 Duties: Community residential water & sewer, trash & recycling, flood control & hazard mitigation, pool, park, & recreation management. My responsibilities as general board member is to help facilitate management of community projects. I will have no check writing, cash management, or investment authority. I will not serve as president or treasurer on any committees. Strictly community projects.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-06-02 |
| S65 | Uniform Investment Adviser Law Examination | 1998-03-16 |
| S63 | Uniform Securities Agent State Law Examination | 1993-11-08 |
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