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CRD 2452688
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 |
|---|---|---|---|
| KY | RA | APPROVED | 2017-01-30 |
| OH | RA | APPROVED | 2017-01-18 |
| IL | RA | APPROVED | 2012-03-26 |
| TX | RA | APPROVED_RES | 2005-10-19 |
| MO | RA | APPROVED | 2001-08-09 |
Branch Locations
77 Broad St, Red Bank, NJ 07701 • United States
620 S Tryon St Central Business Review Unit, Charlotte, NC 28255 • United States
300 Buttermilk Pike, Fort Mitchell, KY 41017 • United States
5905 E Galbraith Rd, Cincinnati, OH 45236 • United States
Loveland, OH • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Chesterfield | MO | 09/1994 | Present |
1)CREATIVE MEMORIES.3001 CLEARWATER ROAD ST.CLOUD MINNESOTA 56302. SCRAPBOOKING SUPPLIES/FRAMING SUPPLIES.01-MAY-2008.NUMBER OF HOURS DEVOTED PER MONTH 11-20.NONE DURING TRADING HOURS.NOT INVESTMENT RELATED.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-07-27 |
| S63 | Uniform Securities Agent State Law Examination | 1995-10-06 |
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