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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 |
| NJ | RA | APPROVED | 2020-12-23 |
| TX | RA | APPROVED_RES | 2019-07-31 |
| CT | RA | APPROVED | 2019-07-15 |
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 |
|---|---|---|---|---|
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 04/2014 | 07/2017 |
| Northwestern Mutual Investment Services Llc | New York | NY | 10/2014 | 07/2017 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 03/2016 | 07/2017 |
| Ameriprise Financial Services Inc | New York | NY | 07/2017 | 04/2019 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 06/2019 | Present |
| Bank Of America, N.A | New York | NY | 07/2019 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-10-21 |
| S63 | Uniform Securities Agent State Law Examination | 2015-01-21 |
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