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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
TX RA APPROVED 2019-07-17
  • TX RA
    APPROVED
    Since 2019-07-17

Branch Locations

4699 N Mesa St, El Paso, TX 79912 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Allstate Insurance Company El Paso TX 12/2017 10/2018
Homemaker El Paso TX 07/2016 12/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated El Paso TX 12/2018 Present
Bank Of America, N.A. El Paso TX 01/2019 Present
Other Businesses

I*557326 For profit or not for profit: Name of outside business organization: Rental Property 1 Investment related: N Address of business: El Paso, Texas, 79902 Nature of business: Position, title, association: Sole owner, Start date of relationship: 6/30/2021 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-07-13
S63 Uniform Securities Agent State Law Examination 2010-09-20
  • S66 Uniform Combined State Law Examination
    2019-07-13
  • S63 Uniform Securities Agent State Law Examination
    2010-09-20
Other Names
  • Divia E Maese
  • Divia E Correa
  • Divia Eva Correa

View on SEC IAPD

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