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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 | 2023-06-21 |
Branch Locations
2800 Post Oak Blvd, Houston, TX 77056 • United States
Houston, TX • 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 |
|---|---|---|---|---|
| Citibank | New York | NY | 12/2012 | 06/2023 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Houston | TX | 06/2023 | Present |
| Bank Of America, N.A. | Houston | TX | 08/2023 | Present |
I*1371310 For profit or not for profit: Name of outside business organization: Rental Property 1 Investment related: N Address of business: new canaan, Connecticut, 06840, United States Nature of business: Position, title, association: Co-owner with other family members, Start date of relationship: 6/26/2023 Number of hours devoted: 2 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: , I*1371311 For profit or not for profit: Name of outside business organization: Rental Property 2 Investment related: N Address of business: tucson, Arizona, 85718, United States Nature of business: Position, title, association: Co-owner with other family members, Start date of relationship: 6/26/2023 Number of hours devoted: 2 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: ,
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-04-13 |
| S63 | Uniform Securities Agent State Law Examination | 2011-03-14 |
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