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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 |
|---|---|---|---|
| NJ | RA | APPROVED | 2025-02-13 |
| NY | RA | APPROVED | 2025-02-13 |
| TX | RA | APPROVED_RES | 2025-02-13 |
Branch Locations
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 |
|---|---|---|---|---|
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 02/2025 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 02/2025 | Present |
| Bank Of America, N.A. | New York | NY | 02/2025 | Present |
1. Rental Property ; Investment related Yes; Southampton NY; Rental; Owner (proprietor, partner, officer, director, employee, trustee, agent); Jul 2018.I*2207323, Entity Type: , Name of OBA: Rental Property 1, Address: Southampton, New York, 11968, Investment Related: N, Position, Title, Association: Co-owner with other family members, Employee State Date: 07/01/2025, No Hours: 2 Yearly, No Hours during Trading: 0 Yearly, Duties: I*2217279, Entity Type non-profit, Name of OBA: Ronald McDonald House Address: New York, NY 10021 Investment Related: No Position, Title, Association: I don't have a position; my daughter is a volunteer and my wife and I assist Employee Start Date: 10/01/2024 No Hours: 3-5 monthly No Hours during trading: 0 Duties: Volunteer
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-08-15 |
| S63 | Uniform Securities Agent State Law Examination | 1999-06-07 |
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