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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 | 2015-03-19 |
| MN | RA | APPROVED | 2014-05-06 |
Branch Locations
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner And Smith Incorporated | Bloomington | MN | 11/2013 | Present |
| Bank Of America, N.A. | Bloomington | MN | 06/2014 | Present |
I*127816For profit or not for profit: For-Profit OrganizationName of outside business organization: Bubba Whips LLCInvestment related: NAddress of business:Edina, Minnesota 55424Nature of business: LLC,Position, title, association: Participant, Start date of relationship: 11/1/2019Number of hours devoted: 20 hour(s) QuarterlyNumber of hours devoted during trading hours: 2Duties: Small MN, green grass golf brand making hickory alignment sticks. Tasks: marketing.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-05-03 |
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