Best Investors
Account
Sign in
Best Investors
Account
Sign in
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_RES | 2023-12-15 |
| FL | RA | APPROVED | 2023-11-30 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Boca Raton | FL | 09/2013 | 09/2016 |
| Morgan Stanley | Boca Raton | FL | 09/2016 | 11/2016 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Delray Beach | FL | 11/2016 | 04/2021 |
| Raymond James & Associates, Inc. | Boca Raton | FL | 04/2021 | 11/2023 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Boca Raton | FL | 11/2023 | Present |
*443300Name of Business: Cindy Schwartz Address: Boca Raton, FL Position/Title: Owner Investment Related: No Start Date: 05/16/2018Hours per month devoted to this business: 30Hours per month devoted to this business during trading hours: 0 Description of duties: buying and reselling items online I* 1616285For profit or not for profit: Name of outside business organization: Cindy Schwartz Investment related: No Address of business: Boca Raton, FL Position, title, association: Other Start date of relationship: 05/16/2018Number of hours devoted: 0 Number of hours devoted during trading hours: Duties: buying and reselling items online I*3159271Entity Type: Fiduciary role Name of OBA:S S Address: Cairo New York Investment Related: No Position, Title, Association: Power of Attorney Start Date:11/07/2025No Hours: 1 Yearly No Hours during trading:0 Duties: Power of Attorney for Child/Grandchild I*3159270Entity Type: Fiduciary role Name of OBA:N A S Address: Cairo New York Investment Related: No Position, Title, Association: Power of Attorney Start Date:11/07/2025No Hours: 1 Yearly No Hours during trading:0 Duties: Power of Attorney for Child/Grandchild I*4208269, Entity Type: , Name of OBA: N A S, Address: Cairo, New York, 12413, Investment Related: N, Position, Title, Association: Power of Attorney, Employee Start Date: 04/02/2026, No Hours: 1 Monthly, No Hours during Trading: 0 Monthly, Duties: I*4210266, Entity Type: Fiduciary role Name of OBA: S S, Address: Cairo, New York, 12413, Investment Related: N, Position, Title, Association: Power of Attorney, Employee Start Date: 04/02/2026, No Hours: 1 Monthly, No Hours during Trading: 0 Monthly, Duties: POA/Child/Grandchild I*4216266, Entity Type: Fiduciary role Name of OBA: N A S, Address: Cairo, New York, 12413, Investment Related: N, Position, Title, Association: Executor, Employee Start Date: 03/30/2031, No Hours: 1 Monthly, No Hours during Trading: 0 Duties: Executor/Child/Grandchild I*4216267, Entity Type: Fiduciary role Name of OBA: S S Estate , Address: Cairo, New York, 12413, Investment Related: N, Position, Title, Association: Executor, Employee Start Date: 03/30/2026, No Hours: 1 Monthly, No Hours during Trading: 0 Duties :Executor/ Child/Grandchild I*4210266 Entity Type: Fiduciary role Name of OBA: S. S. Address: Cairo, New York, 12413 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 04/02/2026 Number of Hours: 1, Monthly Number of Hours during trading: 0 Duties: Power of Attorney/Child/Grandchild I*4208269 Entity Type: Fiduciary role Name of OBA: N. A. S. Address: Cairo, New York, 12413 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 04/02/2026 Number of Hours: 1, Monthly Number of Hours during trading: 0 Duties: Power of Attorney/Child/Grandchild
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-04-05 |
| S63 | Uniform Securities Agent State Law Examination | 1997-12-17 |
Reach out to this advisor