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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-11-01 |
| NY | RA | APPROVED | 2022-04-01 |
| CT | RA | APPROVED | 2020-10-16 |
Branch Locations
One Bryant Park Investment Solutions Group, New York, NY 10036 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 09/2010 | Present |
I*129574 For profit or not for profit: For-Profit Organization Name of outside business organization: USA Hockey Investment related: N Address of business: Colorado Springs, New Jersey 80906 Nature of business: Other,USA Hockey is a governing body Position, title, association: Other, Referee Ice Hockey Games Start date of relationship: 1/29/2020 Number of hours devoted: 10 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Officiate Youth and Recreational Ice Hockey Games Protechockey Ponds Ice Center ?For profit or not for profit: For Profit ?Name of outside business organization: Protechockey Ponds Ice Center ?Investment related: No ?Address of business (City and State Only): Somerset, NJ ?Nature of business: Ice Rink ?Position, title, association: Ice Official ?Start date of relationship: September 26 2015 ?Number of hours devoted: 2 per month ?Number of hours devoted during trading hours: 0 ?Duties: Officiate Youth and Recreational Ice Hockey Games ProSkate Ice Arena ?For profit or not for profit: For Profit ?Name of outside business organization: ProSkate Ice Arena ?Investment related: No ?Address of business (City and State Only): Monmouth Junction, NJ ?Nature of business: Ice Rink ?Position, title, association: Ice Official ?Start date of relationship: September 26 2015 ?Number of hours devoted: 2 per month ?Number of hours devoted during trading hours: 0 ?Duties: Officiate Youth and Recreational Ice Hockey Games Woodbridge Community Center ?For profit or not for profit: For Profit ?Name of outside business organization: Woodbridge Community Center ?Investment related: No ?Address of business (City and State Only): Woodbridge, NJ ?Nature of business: Ice Rink ?Position, title, association: Ice Official ?Start date of relationship: September 26 2015 ?Number of hours devoted: 2 per month ?Number of hours devoted during trading hours: 0 ?Duties: Officiate Youth and Recreational Ice Hockey Games Flemington Ice Arena ?For profit or not for profit: For Profit ?Name of outside business organization: Flemington Ice Arena ?Investment related: No ?Address of business (City and State Only): Flemington, NJ ?Nature of business: Ice Rink ?Position, title, association: Ice Official ?Start date of relationship: September 26 2015 ?Number of hours devoted: 2 per month ?Number of hours devoted during trading hours: 0 ?Duties: Officiate Youth and Recreational Ice Hockey Games Bridgewater Sports Arena ?For profit or not for profit: For Profit ?Name of outside business organization: Bridgewater Ice Arena ?Investment related: No ?Address of business (City and State Only): Bridgewater, NJ ?Nature of business: Ice Rink ?Position, title, association: Ice Official ?Start date of relationship: September 26 2015 ?Number of hours devoted: 2 per month ?Number of hours devoted during trading hours: 0 ?Duties: Officiate Youth and Recreational Ice Hockey Games Old Bridge Ice Arena ?For profit or not for profit: For Profit ?Name of outside business organization: Old Bridge Ice Arena ?Investment related: No ?Address of business (City and State Only): Old Bridge Township, NJ ?Nature of business: Ice Rink ?Position, title, association: Ice Official ?Start date of relationship: February 11, 2017 ?Number of hours devoted: 2 per month ?Number of hours devoted during trading hours: 0 ?Duties: Officiate Youth and Recreational Ice Hockey Games Baker Rink ?For profit or not for profit: For Profit ?Name of outside business organization: Baker Rink ?Investment related: No ?Address of business (City and State Only): Princeton, NJ ?Nature of business: Ice Rink ?Position, title, association: Ice Official ?Start date of relationship: September 17, 2016 ?Number of hours devoted: 2 per month ?Number of hours devoted during trading hours: 0 ?Duties: Officiate Youth and Recreational Ice Hockey Games
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-10-13 |
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