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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
TX RA APPROVED 2025-09-17
NY RA APPROVED 2024-11-15
  • TX RA
    APPROVED
    Since 2025-09-17
  • NY RA
    APPROVED
    Since 2024-11-15

Branch Locations

75 Rockefeller Plz, New York, NY 10019 • United States

One Bryant Park, New York, NY 10036 • 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
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
  • 12/2014 → 12/2016
    Tullet Prebon
    Jersey City, NJ
  • 12/2016 → 04/2020
    Clarksons Platou Securities, Inc.
    New York, NY
  • 04/2020 → 12/2021
    Odeon Capital Group
    New York, NY
  • 09/2022 → 10/2024
    R.W. Pressprich & Co.
    New York, NY
  • 01/2022 → 09/2022
    Folkvang.lO
    Summit, NJ
  • 10/2024 → Present
    New York, NY
  • 12/2024 → Present
    Bank Of America, N.A.
    New York, NY
Other Businesses

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:

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2016-12-27
  • S63 Uniform Securities Agent State Law Examination
    2016-12-27
Designations
  • Chartered Financial Analyst
Other Names
  • Matt Tenteromano

View on SEC IAPD

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