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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 2022-11-22
  • FL RA
    APPROVED
    Since 2022-11-22

Branch Locations

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

101 E Kennedy Blvd, Tampa, FL 33602 • 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
Bank Of America, N.A. Tampa FL 07/2015 04/2021
Merrill Lynch, Pierce, Fenner & Smith Incorporated Tampa FL 07/2015 04/2021
J.P. Morgan Chase Bank, N.A. Sun City Center FL 04/2021 05/2022
J.P. Morgan Securities Llc Sun City Center FL 04/2021 05/2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated Tampa FL 05/2022 Present
Previous Registrations
Other Businesses

I*4444265 Entity Type: School, College or University Name of OBA: Armwood High School Head JV Coach Address: Seffner, Florida, 33584 Investment Related: No Position, Title, Association: Other Employee Start Date: 11/01/2026 Number of Hours: 10, Weekly Number of Hours during trading: 2.5, Weekly Duties: Armwood High School which falls under Hillsborough County Schools. Coaching 9th and 10th grade basketball players.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-11-21
  • S66 Uniform Combined State Law Examination
    2013-11-21
Other Names
  • Darrell F Hawkins Sr
  • Darrell F Hawkins
  • Darrell F Hawkins

View on SEC IAPD

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