Niki Patel

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

Authority	Category	Status	Date
TX	RA	APPROVED	2017-09-22
NJ	RA	APPROVED	2017-09-21

TX RA
APPROVED

Since 2017-09-22
NJ RA
APPROVED

Since 2017-09-21

Branch Locations

1100-1800 American Blvd Investment Solutions Group, Pennington, NJ 08534 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Pennington	NJ	05/2017	Present
Sunglass Hut	Edison	NJ	06/2016	05/2017
Rutgers University	Newark	NJ	09/2014	12/2016

05/2017 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pennington, NJ
06/2016 → 05/2017

Sunglass Hut

Edison, NJ
09/2014 → 12/2016

Rutgers University

Newark, NJ

Other Businesses

I*: 2642267 Entity Type: Rental Property Name of OBA: Rental Property 1 Address: Philadelphia, PA 19123 Investment Related: No Position, Title, Association: Sole owner Employee Start Date: 07/29/2025 Number of Hours: 5 hrs annually Number of Hours during trading: 0 Duties: Owner of rental property

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2017-09-20

S66 Uniform Combined State Law Examination

2017-09-20

Other Names

Niki D Patel

View on SEC IAPD