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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 | 1995-03-24 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Houston | TX | 07/1993 | Present |
I*122119 For profit or not for profit: Non-Profit Organization Name of outside business organization: Martin Royalty LLC Investment related: N Address of business: Porter, Texas 77365 Nature of business: LLC, Position, title, association: Other, My trust is a member Start date of relationship: 5/27/2018 Number of hours devoted: 0 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: My trust is a member of the LLC. I have no role other than beneficiary of the trust.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-07-30 |
| S63 | Uniform Securities Agent State Law Examination | 1995-03-23 |
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