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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 | 2015-05-01 |
| IA | RA | APPROVED | 2014-03-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Des Moines | IA | 01/2014 | Present |
| Bank Of America, N.A. | Des Moines | IA | 03/2016 | Present |
I*3188282 Entity Type: N/A Name of OBA: Rental Property 1 Address: Waukee, Iowa, 50263 Investment Related: No Position, Title, Association: Co-owner with other family members Employee Start Date: 01/01/2012 Number of Hours: 1, Yearly Number of Hours during trading: 0, Yearly Duties: N/A
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-04-13 |
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