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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 2024-12-18
NY RA APPROVED 2024-11-13
  • TX RA
    APPROVED
    Since 2024-12-18
  • NY RA
    APPROVED
    Since 2024-11-13

Branch Locations

300 Broadhollow Rd, Melville, NY 11747 • 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
Wells Fargo Bank, Na Lake Ronkonkoma NY 06/2015 07/2019
Wells Fargo Clearing Services, Llc Lake Ronkonkoma NY 06/2015 07/2019
Jpmorgan Chase Bank, N.A. Valley Stream NY 11/2019 04/2021
Jp Morgan Securities Llc Valley Stream NY 11/2019 04/2021
Unemployed Lindenhurst NY 08/2019 10/2019
Fidelity Investments Merrimack NH 04/2021 09/2024
Merrill Lynch, Pierce, Fenner & Smith Incorporated Melville NY 09/2024 Present
Bank Of America, N.A Melville NY 11/2024 Present
  • 06/2015 → 07/2019
    Wells Fargo Bank, Na
    Lake Ronkonkoma, NY
  • 06/2015 → 07/2019
    Wells Fargo Clearing Services, Llc
    Lake Ronkonkoma, NY
  • 11/2019 → 04/2021
    Jpmorgan Chase Bank, N.A.
    Valley Stream, NY
  • 11/2019 → 04/2021
    Jp Morgan Securities Llc
    Valley Stream, NY
  • 08/2019 → 10/2019
    Unemployed
    Lindenhurst, NY
  • 04/2021 → 09/2024
    Fidelity Investments
    Merrimack, NH
  • 09/2024 → Present
    Melville, NY
  • 11/2024 → Present
    Bank Of America, N.A
    Melville, NY
Previous Registrations
  • 2021-08-16 → 2024-09-09
    Fidelity Personal And Workplace Advisors
    Lindenhurst, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-08-02
S63 Uniform Securities Agent State Law Examination 2009-01-23
  • S66 Uniform Combined State Law Examination
    2021-08-02
  • S63 Uniform Securities Agent State Law Examination
    2009-01-23
Other Names
  • Troye Lancelot Hammond
  • Troye L. Hammond

View on SEC IAPD

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