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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 |
|---|---|---|---|
| OH | RA | APPROVED | 2015-07-30 |
| TX | RA | APPROVED_RES | 2015-07-30 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Cincinnati | OH | 07/2015 | Present |
| Bank Of America, N.A. | Cincinnati | OH | 09/2015 | Present |
NORTHEAST WOMENS REPUBLICAN CLUB- SOCIAL POLITICAL CLUB- 01/2011- PRESIDENT, AS PRESIDENT I WILL ESTABLISH THE AGENDA OF CLUB MEETINGS AND PROVIDE IDEAS FOR PROGRAM SPEAKERS. I WILL ALSO REPRESENT CLUB AT STATE CLUB MEETING IN SPRING AND FALL. I WILL NO LONGER HANDLE THE FUNDS FOR THE CLUB AS TREASURER- 2 HOURS DURING TRADING HOURS, 5 HOURS OUTSIDE BUSINESS HOURS, 0 SHARES HELD I*2606301, Entity Type: Entity For Profit, Name of OBA: Moon River Reserves, LLC, Address: Lynchburg, Virginia, 24502, Investment Related: N, Position, Title, Association: General Partner/Managing Member, Employee State Date: 08/29/2025, No Hours: 5 Monthly, No Hours during Trading: 0 Monthly, Duties: Established LLC to purchase rental property. As general manager and sole owner of LLC I will manage the property including maintenance, repairs, cleaning and renting.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2003-05-27 |
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