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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2021-04-19 |
| PA | RA | APPROVED | 2020-11-12 |
| CT | RA | APPROVED | 2015-07-27 |
| TX | RA | APPROVED | 2015-07-24 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 07/2015 | Present |
| Bank Of America, N.A. | New York | NY | 09/2015 | Present |
I*3169267 Entity Type: N/A Name of OBA: Lake Naomi Club Board of Trustees Address: Pocono Pines, Pennsylvania, 18350 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 01/01/2026 Number of Hours: 3, Monthly Number of Hours during trading: 0, Monthly Duties: Home Owners Association Planning and community engagement
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-10-01 |
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