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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
TX RA APPROVED_RES 2022-11-01
NY RA APPROVED 2022-04-01
CT RA APPROVED 2020-10-16
  • TX RA
    APPROVED_RES
    Since 2022-11-01
  • NY RA
    APPROVED
    Since 2022-04-01
  • CT RA
    APPROVED
    Since 2020-10-16

Branch Locations

One Bryant Park Investment Solutions Group, 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 09/2010 Present
Other Businesses

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

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-10-13
  • S66 Uniform Combined State Law Examination
    2020-10-13

View on SEC IAPD

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