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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_RES | 2023-02-16 |
| CT | RA | APPROVED | 2023-02-13 |
Branch Locations
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Finanical Llc | Fall River | MA | 11/2015 | 09/2017 |
| Northeast Planning Associates, Inc. | Fairhaven | MA | 06/2016 | 09/2017 |
| Financial Planning Alternatives | Westport | MA | 10/2017 | 06/2019 |
| Lincoln Investment | Fort Washington | PA | 10/2017 | 06/2019 |
| Allstate Insurance Co | South Easton | MA | 07/2019 | 10/2022 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Raynham | MA | 11/2022 | Present |
I*: 1074314 Entity Type: Entity For Profit Name of OBA: Allstate Financial Services/Everlake Life Insurance Company Address: Lincoln, NE Investment Related: No Position, Title, Association: Other Employee Start Date: 11/15/2022 Number of Hours: 0 Number of Hours during trading: 0 Duties: Trailing non securities life insurance revenue. No duties required. I*1074314, Entity Type: Entity For Profit, Name of OBA: Allstate Financial Services, Address: Lincoln, Nebraska 68506, Investment Related: N, Position, Title, Association: Other, Employee Start Date: 11/15/2022, No Hours: 0, No Hours during trading: 0, Duties: Trailing non securities life insurance revenue. No duties required
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-04-14 |
| S63 | Uniform Securities Agent State Law Examination | 2016-02-09 |
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