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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 | 2022-08-18 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.P. Morgan Securities Llc | Tyler | TX | 10/2012 | 08/2022 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Tyler | TX | 08/2022 | Present |
| Bank Of America N.A. | Tyler | TX | 12/2022 | Present |
I*1220254, Entity Type: Entity For Profit, Name of OBA: TSSRL Ventures LLC, Address: Lindale, Texas 75771, Investment Related: N, Position, Title, Association: General Partner/Managing Member, Owner, Employee Start Date: 04/01/2023, No Hours: 5, No Hours during trading: 1, Duties: Entity was created for purposes of rental property ownership. I*: 2126270 Entity Type: Charitable Name of OBA: Salvation Army Address: Tyler, TX 75702 Investment Related: No Position, Title, Association: Advisory board member Employee Start Date: 12/19/2024 Number of Hours: 3 hrs mthly Number of Hours during trading: 1 hr mthly Duties: There will be no official responsivities other than to participate in monthly advisory board meetings. No financial involvement with the charity or handling of any cash involved
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-07-06 |
| S63 | Uniform Securities Agent State Law Examination | 2009-05-15 |
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