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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2022-07-15 |
| NJ | RA | APPROVED | 2007-05-07 |
Branch Locations
One Bryant Park, New York, NY 10036 • UNITED STATES
9000 Southside Blvd Bldg 400, Jacksonville, FL 32256 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Pennington | NJ | 03/2006 | Present |
I*136537For profit or not for profit: Non-Profit OrganizationName of outside business organization: Expect Miracles FoundationInvestment related: NAddress of business: Boston, Massachusetts 02111Nature of business: Charitable Organization,Position, title, association: Director, Start date of relationship: 3/2/2021Number of hours devoted: 5 hour(s) QuarterlyNumber of hours devoted during trading hours: 0Duties: EMF invests in cancer research while advancing the financial and emotional health of people impacted by cancer. As a Director, I will help raise money for the organization and gain supporters. I*1968302, Entity Type: Entity Charitable, Name of OBA: Expect Miracles Foundation Address: Boston, MA 02111 Investment Related: No Position, Title, Association:Committee,Board Member Employee Start Date: 8/20/24 No Hours:12 hrs. yearly No Hours during trading:6 Duties:
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-05-04 |
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