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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 |
|---|---|---|---|
| CT | RA | APPROVED | 2023-06-12 |
| TX | RA | APPROVED_RES | 2013-01-25 |
| DE | RA | APPROVED | 2012-03-29 |
| NJ | RA | APPROVED | 2009-02-12 |
Branch Locations
100 Federal St Pbig - Boston Private Wealth Ctr, Boston, MA 02110 • United States
One Bryant Park Mlwm Executive Osj, New York, NY 10036 • United States
Waban, MA • United States
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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Boston | MA | 02/2009 | Present |
BUSINESS NAME: STATE STREET GLOBAL ADVISORS, BOARD, COMMITTEE OR OFFICER - PUBLIC FOR PROFIT EFFECTIVE 07/12/2010
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-10-25 |
| S63 | Uniform Securities Agent State Law Examination | 1994-10-13 |
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