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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 | 2024-12-18 |
| NY | RA | APPROVED | 2024-11-13 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-08-02 |
| S63 | Uniform Securities Agent State Law Examination | 2009-01-23 |
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