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Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars
  • PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-19
TX RA APPROVED_RES 2009-08-17
NJ RA APPROVED 2004-04-14
  • NY RA
    APPROVED
    Since 2021-04-19
  • TX RA
    APPROVED_RES
    Since 2009-08-17
  • NJ RA
    APPROVED
    Since 2004-04-14

Branch Locations

225 Liberty St, New York, NY 10281 • United States

Teaneck, NJ • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated New York NY 05/1995 Present
Bank Of America, N.A. New York NY 07/2011 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-09-26
S63 Uniform Securities Agent State Law Examination 1995-08-10
  • S65 Uniform Investment Adviser Law Examination
    1996-09-26
  • S63 Uniform Securities Agent State Law Examination
    1995-08-10
Other Names
  • Abe Cohen
  • Abraham Gershon Cohen

View on SEC IAPD

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