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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 | 2024-05-23 |
| TX | RA | APPROVED | 2024-04-19 |
Branch Locations
3507 Kyoto Gardens Dr Florida Pwm Palm Beach, Palm Beach Gardens, FL 33410 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.P Morgan Securities Inc. | New York | NY | 11/2009 | 01/2020 |
| Jpmorgan Chase Bank, N.A. | New York | NY | 10/2010 | 01/2020 |
| First Republic Securities Company, Llc | Jupiter | FL | 01/2020 | 10/2023 |
| First Republic Investment Management, Inc | Jupiter | FL | 01/2020 | 04/2024 |
| J.P. Morgan Securities Llc | Jupiter | FL | 09/2023 | 04/2024 |
| Jp Morgan Chase Bank, N.A. | Jupiter | FL | 10/2023 | 04/2024 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Palm Beach | FL | 04/2024 | Present |
I*5511270, Entity Type: , Name of OBA: H C K TTEE K M K TTEE U/A DTD 10/02/2003 , Address: Independence, Missouri, 64055, Investment Related: N, Position, Title, Association: Co-Trustee, Employee Start Date: 09/01/2026, No Hours: 1 Monthly, No Hours during Trading: 1 Monthly, Duties: I*5489268, Entity Type: , Name of OBA: JM K & HC K Trust, Address: Indpendence, Missouri, 64055, Investment Related: N, Position, Title, Association: Co-Trustee, Employee Start Date: 09/01/2026, No Hours: 1 Yearly, No Hours during Trading: 1 Yearly, Duties:
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-02-24 |
| S63 | Uniform Securities Agent State Law Examination | 2001-03-24 |
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