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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
NY RA APPROVED 2021-04-19
TX RA APPROVED_RES 2015-09-16
CT RA APPROVED 2014-03-13
  • NY RA
    APPROVED
    Since 2021-04-19
  • TX RA
    APPROVED_RES
    Since 2015-09-16
  • CT RA
    APPROVED
    Since 2014-03-13

Branch Locations

One Bryant Park Gwim Chief Investment Office (Cio), New York, NY 10036 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated New York NY 08/2010 Present
Other Businesses

I* 559266 Business or Industry Organization Name of outside business organization: TBD Investment related: No Address of business: Fanwood, NJ 07023 Position, title, association: Owner Start date of relationship: 11/15/2021 Number of hours devoted: 1 hour Yearly Number of hours devoted during trading hours: 0 Duties: Owner of LLC I*1430253 Name of OBA: Easy Healthcare For All Address:Fanwood,NJ,07023 Investment Related: No Position, Title, Association: Director Employee Start Date: 08/31/2023 No Hours: weekly: 1 hr wkly No Hours during trading: 0 Duties: The purpose of this organization is to help poor people in countries like Nepal with healthcare needs. My responsibilities is to help with fundraise and awareness in my community. The fundraising will be either online with help of external sites like go fund me page, through foundation website, by applying for grants, asking friends and families to donate through social media, or locally by organizing fundraising events like soccer tournaments, etc. I will also help with collecting donated funds in non profit account, and disburse funds to other foundations that will provide service to the needy people. The accumulated funds will be saved in checking or savings account, so there will be no investment advice. There will be some responsibility for budgeting funds for disbursement to the appropriate foundations. All work for non profit will be completed collectively with other board members. I*3071268 Entity Type: Charitable Name of OBA: NEPALI COMMUNITY OF NEW JERSEY A NJ NONPROFIT CORPORATION Address: fanwood, New Jersey, 7023 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 10/24/2025 Number of Hours: 2, Monthly Number of Hours during trading: 0 Duties: Community development and well being of Nepali diaspora in New Jersey USA Attend meetings, provide feedback, organize community events

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-09-12
  • S66 Uniform Combined State Law Examination
    2011-09-12

View on SEC IAPD

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