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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2024-11-19 |
| NY | RA | APPROVED | 2021-04-06 |
| TX | RA | APPROVED_RES | 2018-03-15 |
| NJ | RA | APPROVED | 2018-03-08 |
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 |
|---|---|---|---|---|
| Ubs Financial Services Inc. | New York | NY | 11/2013 | 11/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 03/2018 | Present |
| Unemployed | New York | NY | 11/2017 | 03/2018 |
| Bank Of America, N.A. | New York | NY | 03/2018 | Present |
I*789247 Entity Type: N/A Name of OBA: Borough of Alpine Planning Board Address: alpine, New Jersey Investment Related: No Position, Title, Association: Committee Employee Start Date: 04/06/2022 Number of Hours: 2, Monthly Number of Hours during trading: 0, Monthly Duties: planning board
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-04-04 |
| S63 | Uniform Securities Agent State Law Examination | 2009-04-27 |
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