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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 | 2024-09-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup | Park Slope | NY | 07/2016 | 01/2018 |
| Citigroup | New York | NY | 01/2018 | 07/2024 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 07/2024 | Present |
I*1940306, Entity Type, Name of OBA: Rental Property 1 Address: Brooklyn New York 11207 Investment Related: No Position, Title, Association: Co-owner with other family members Employee Start Date: 08/01/2024 No Hours: 1 monthly No Hours during trading: 0 Duties:
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-05-11 |
| S63 | Uniform Securities Agent State Law Examination | 2010-08-24 |
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