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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
FL RA APPROVED 2015-07-17
TX RA APPROVED_RES 2015-05-29
  • FL RA
    APPROVED
    Since 2015-07-17
  • TX RA
    APPROVED_RES
    Since 2015-05-29

Branch Locations

701 Brickell Ave, Miami, FL 33131 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Coral Gables FL 05/2015 Present
Bank Of America, N.A. Coral Gables FL 09/2015 Present
Previous Registrations
  • 2010-04-15 → 2014-11-06
    Efg Capital Advisors Llc
    Miami, FL
Other Businesses

I*447357Entity For Profit, Name of OBA: Macavi Properties LLC, Address: Miami, Florida, 33129Investment Related: NoPosition, Title, Association: OwnerEmployee Start Date: 04/18/2017No Hours: 1No Hours during trading: 0Duties: The purpose of the entity is to acquire and receive rental from real estate properties as well participation interest into LP. I'm a member with 50% of the company the other 50% belongs to my wife as a member. I*1671299Entity For Profit Name of OBA: AVIMAC Properties LLC, Address: Miami, Florida, 33129-1103Investment Related: No, Position, Title, Association: General Partner/Managing Member, Employee Start Date: 01/31/2024, No Hours: 1hr/Ann, No Hours during trading: 0Duties: Purpose is to hold Real Estate properties for rental purpose. FA is a managing member with his spouse. There is no active/properties at this moment. I*4334273, Entity Type: , Name of OBA: Rental Property 2, Address: Miami, Florida, 33131, Investment Related: N, Position, Title, Association: Co-owner with other family members, Employee Start Date: 05/01/2026, No Hours: 0.25 Monthly, No Hours during Trading: 0 Monthly, Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-05-29
  • S66 Uniform Combined State Law Examination
    2009-05-29
Other Names
  • Ruy De Barros Maciel

View on SEC IAPD

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