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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
CA RA APPROVED 2026-02-09
  • CA RA
    APPROVED
    Since 2026-02-09

Branch Locations

1211 Sw 5Th Ave, Portland, OR 97204 • United States

401 Union St, Seattle, WA 98101 • 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
U.S. Bank Portland OR 08/2008 07/2025
Merrill Lynch, Pierce, Fenner & Smith Incorporated Portland OR 07/2025 Present
Other Businesses

I*2629283 Entity Type: Not for ProfitName of OBA: Boys & Girls Clubs of Portland Metropolitan Area Address:Portland, OR Investment Related:No Position, Title, Association:Board Member Start Date:07/14/2025 No Hours: 4 hours per month Hours during trading:2 Duties:- The organization's mission is to empower all young people, especially those who need us most, to discover their full potential as caring, engaged, responsible community members. Clubs provide enrichment programs to youth while empowering them with a sense of belonging and security. Clubs surround members with caring, trained staff that engage them in nationally proven evidence-based youth development programs. Volunteer as Governing Board Member to support this non-profit organization in our community. - Stay informed and actively participate in board meetings and decision-making in good faith and with the best interest of the organization in mind (while avoiding conflicts of interest) - Leverage personal network to support fundraising and open doors for the organization - Advocate for the nonprofit's mission and raise its visibility in the community - Attend board and assigned committee meetings consistently - Serve on a committee as needed - Strengthen relationships with donors, partners and the public - Volunteer time to support events and projects I*2629282 Entity Type: Not for ProfitName of OBA: Girls Inc. of the Pacific Northwest Address:Portland, OR Investment Related:No Position, Title, Association:Board Member Start Date:07/14/2025 No Hours: 4 hours per month No Hours during trading:2 hours per month Duties:- Volunteer as Governing Board Member to support this non-profit organization in our community. - Stay informed and actively participate in board meetings and decision-making in good faith and with the best interest of the organization in mind (while avoiding conflicts of interest) - Leverage personal network to support fundraising and open doors for the organization - Advocate for the nonprofit's mission and raise its visibility in the community - Attend board and assigned committee meetings consistently - Serve on a committee as needed - Strengthen relationships with donors, partners and the public - Volunteer time to support events and projects

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2026-02-09
S63 Uniform Securities Agent State Law Examination 2010-08-13
  • S66 Uniform Combined State Law Examination
    2026-02-09
  • S63 Uniform Securities Agent State Law Examination
    2010-08-13
Other Names
  • Elisa Ann Tryon
  • Elisa Ann Mickelsen
  • Elisa Ann Landers

View on SEC IAPD

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