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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
CA RA APPROVED 2024-06-28
TX RA APPROVED_RES 2024-04-12
  • CA RA
    APPROVED
    Since 2024-06-28
  • TX RA
    APPROVED_RES
    Since 2024-04-12

Branch Locations

Gilbert, AZ • United States

2555-2595 W Chandler Blvd Ci Client Services, Chandler, AZ 85224 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch Pierce Fenner & Smith Incorporated Chandler AZ 08/2013 Present
Other Businesses

I*: 1683270 Entity Type: Entity For Profit Name of OBA: Gabriel C Lile Address: Investment Related: No Position, Title, Association: Owner Employee Start Date: 1/29/2024 Number of Hours: 4 weekly Number of Hours during trading: 0 Duties: Selling my artwork that I personally created.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-06-25
S63 Uniform Securities Agent State Law Examination 2013-12-10
  • S66 Uniform Combined State Law Examination
    2024-06-25
  • S63 Uniform Securities Agent State Law Examination
    2013-12-10
Other Names
  • Gabe Cameron Lile
  • Gabriel Cameron Lile

View on SEC IAPD

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