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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 2014-11-24
CT RA APPROVED 2014-11-19
  • NY RA
    APPROVED
    Since 2021-04-19
  • TX RA
    APPROVED
    Since 2014-11-24
  • CT RA
    APPROVED
    Since 2014-11-19

Branch Locations

75 Rockefeller Plz, New York, NY 10019 • 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 12/2011 Present
Staten Island Advance Staten Island NY 09/2007 Present
Other Businesses

1) I WORK FOR THE STATEN ISLAND ADVANCE ONCE A WEEK - I HAVE NO PERSONAL INVESTMENT WITH THE COMPANY. 2)I*47939 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: STATEN ISLAND ADVANCE INVESTMENT RELATED: N ADDRESS OF BUSINESS: 950 FINGERBOARD ROAD, STATEN ISLAND, NEW YORK 10305 NATURE OF BUSINESS: CORPORATION, POSITION, TITLE, ASSOCIATION: PART-TIME, START DATE OF RELATIONSHIP: 39349 NUMBER OF HOURS DEVOTED: 32 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: MACHINE OPERATOR FOR ADVERTISEMENTS

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-11-18
S63 Uniform Securities Agent State Law Examination 1997-02-28
  • S66 Uniform Combined State Law Examination
    2014-11-18
  • S63 Uniform Securities Agent State Law Examination
    1997-02-28
Other Names
  • Anthony Joseph Hahn

View on SEC IAPD

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