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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 | 2016-08-18 |
| CA | RA | APPROVED | 2016-02-08 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Tucson | AZ | 09/2014 | Present |
| Bank Of America, N.A. | Tucson | AZ | 03/2015 | Present |
I*132172 For profit or not for profit: For-Profit Organization Name of outside business organization: Lone Saguaro Group LLC Investment related: Y Address of business: Dallas, Texas 75206 Nature of business: LLC, Position, title, association: Limited Partner, Start date of relationship: 8/1/2020 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Limited partner in LLC that will be focused on private real estate investments. II*692251 For profit or not for profit: Entity For Profit Name of outside business organization: Archie Capital LLC Investment related: N Address of business: Phoenix, Arizona, 85016 Nature of business: ["Limited Liability Company"] Position, title, association: ["General Partner/Managing Member"], Start date of relationship: 1/20/2022 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , Rental Property I*697246 For profit or not for profit: Entity For Profit Name of outside business organization: F1B Capital LLC Investment related: N Address of business: Phoenix, Arizona, 85016 Nature of business: ["Limited Liability Company"] Position, title, association: ["General Partner/Managing Member"], Start date of relationship: 1/24/2022 Number of hours devoted: 1 hour(s) Weekly Number of hours devoted during trading hours: 0 Duties: , rental property management
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-02-05 |
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