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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 | 2025-09-17 |
| NY | RA | APPROVED | 2024-11-15 |
Branch Locations
75 Rockefeller Plz, New York, NY 10019 • United States
One Bryant Park, New York, NY 10036 • UNITED STATES
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Tullet Prebon | Jersey City | NJ | 12/2014 | 12/2016 |
| Clarksons Platou Securities, Inc. | New York | NY | 12/2016 | 04/2020 |
| Odeon Capital Group | New York | NY | 04/2020 | 12/2021 |
| R.W. Pressprich & Co. | New York | NY | 09/2022 | 10/2024 |
| Folkvang.lO | Summit | NJ | 01/2022 | 09/2022 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 10/2024 | Present |
| Bank Of America, N.A. | New York | NY | 12/2024 | Present |
I*: 2056279Name of OBA: STARDUST HOLDINGS, LLC. Position: MANAGING MEMBERType of Entity: REAL ESTATE HOLDING COMPANYAddress: SUMMIT, NJNOT INVESTMENT RELATEDHours: 1 HR PER MTH Hours OUTSIDE OF BUSINESS: 1 hr mthlyDuties: RECORD-KEEPING AND ADMINISTRATIVE DUTIES. I*: 2056281Name of OBA: SURFOTO, LLCPosition: MANAGING MEMBERType of Entity:. MOBILE AND WEB-BASED APPLICATIONAddress: SUMMIT, NJNOT INVESTMENT RELATEDHours: 1 HR PER yearOUTSIDE OF BUSINESS HOURS: 1 hr annuallyDuties: ADVISORY, RECORD-KEEPING AND ADMINISTRATIVE DUTIES. I*: 2047277Entity Type: Entity For ProfitName of OBA: Komano Ventures, LLCAddress: Summit, NJ 07901Investment Related: NoPosition, Title, Association: General Partner/Managing MemberEmployee Start Date: 02/15/2012Number of Hours: 1 hr annuallyNumber of Hours during trading: 1 hr annually Duties: Komano Ventures, LLC is a two-person entity that has previously invested in real estate and several startup and private businesses. Currently, Komano Ventures does not own any real estate and is only invested as a minority stakeholder in two businesses, both of which are private liquor/spirit manufacturing and distribution businesses. Besides these two startup investments, Komano Ventures, LLC is inactive. The entity merely exists as the stake-owner of the businesses. There is some administrative work that occurs annually, that is required to renew the LLC, and file regulatory documentation and fees. I*2056276, Entity Type: Fiduciary, Name of OBA: F T Revocable Trust, Address: Port Charlotte, Florida, 33953, Investment Related: N, Position, Title, Association: Trustee, Employee State Date: 21-Oct-2024, No Hours: 1 Monthly, No Hours during Trading: 1 Monthly, Duties:
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2016-12-27 |
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