Nicole Mertzel

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

Authority	Category	Status	Date
NY	RA	APPROVED	2021-04-19
NJ	RA	APPROVED	2020-11-09
TX	RA	APPROVED	2014-08-01

NY RA
APPROVED

Since 2021-04-19
NJ RA
APPROVED

Since 2020-11-09
TX RA
APPROVED

Since 2014-08-01

Branch Locations

Jersey City, NJ • United States

One Bryant Park, 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	New York	NY	07/2013	Present

07/2013 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York, NY

Other Businesses

I*2930265, Entity Type, Name of OBA: Successor POAAddress: Jersey cityNew Jersey07307 Investment Related: No Position, Title, Association: Successor POA Employee Start Date: 09/30/2030No Hours: 0 No Hours during trading: 0 Duties:

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2014-06-20

S66 Uniform Combined State Law Examination

2014-06-20

View on SEC IAPD