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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2021-04-19 |
| TX | RA | APPROVED | 2014-11-24 |
| CT | RA | APPROVED | 2014-11-19 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 12/2011 | Present |
| Staten Island Advance | Staten Island | NY | 09/2007 | Present |
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
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-11-18 |
| S63 | Uniform Securities Agent State Law Examination | 1997-02-28 |
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