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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 |
|---|---|---|---|
| CO | RA | APPROVED | 2019-01-31 |
| NV | RA | APPROVED | 2017-02-16 |
| UT | RA | APPROVED | 2017-02-09 |
| WA | RA | APPROVED | 2017-02-09 |
| TX | RA | APPROVED_RES | 2013-02-26 |
| CA | RA | APPROVED | 2007-02-28 |
Branch Locations
525 Washington Blvd Central Business Review Unit, Jersey City, NJ 07310 • United States
200 Josephine St, Denver, CO 80206 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Englewood | CO | 09/1998 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-02-26 |
| S63 | Uniform Securities Agent State Law Examination | 1999-08-12 |
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