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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2008-10-17 |
| TX | RA | APPROVED_RES | 2008-10-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pasco Home Rentals | Zephyrhills | FL | 04/2004 | Present |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Tampa | FL | 10/2008 | Present |
| Bank Of America, N.A. | Tampa | FL | 05/2011 | Present |
I*132931 For profit or not for profit: Non-Profit Organization Name of outside business organization: Sarah Vande Berg Tennis Foundation Investment related: N Address of business: Zephyrhills, Florida 33542 Nature of business: Charitable Organization, Position, title, association: Director, Start date of relationship: 10/1/2020 Number of hours devoted: 3 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Board of Directors. The purpose of the foundation is after school tennis and educational instruction for k-12th grade. I*33850 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: PASCO HOME RENTALS INVESTMENT RELATED: N ADDRESS OF BUSINESS: ZEPHYRHILLS, FLORIDA 33542 NATURE OF BUSINESS: S-CORP, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 0001-01-01 NUMBER OF HOURS DEVOTED: 5 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: PRESIDENT AND OWNER
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-08-15 |
| S63 | Uniform Securities Agent State Law Examination | 1995-08-01 |
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