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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
FL RA APPROVED 2022-07-15
NJ RA APPROVED 2007-05-07
  • FL RA
    APPROVED
    Since 2022-07-15
  • NJ RA
    APPROVED
    Since 2007-05-07

Branch Locations

One Bryant Park, New York, NY 10036 • UNITED STATES

9000 Southside Blvd Bldg 400, Jacksonville, FL 32256 • 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 Pennington NJ 03/2006 Present
Other Businesses

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:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-05-04
  • S66 Uniform Combined State Law Examination
    2007-05-04
Other Names
  • Christine Lynn Rubia

View on SEC IAPD

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