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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 |
|---|---|---|---|
| PA | RA | APPROVED | 2024-08-06 |
| NJ | RA | APPROVED | 2014-07-18 |
| TX | RA | APPROVED_RES | 2014-07-07 |
Branch Locations
1100-1800 American Blvd Central Business Review Unit, Pennington, NJ 08534 • United States
901 Main St Central Business Review Unit, Dallas, TX 75202 • United States
Cheltenham, PA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Hopewell | NJ | 12/2013 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-07-16 |
| S63 | Uniform Securities Agent State Law Examination | 2014-04-16 |
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