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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2011-07-08 |
| TX | RA | APPROVED_RES | 2011-07-08 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Td Ameritrade | Sarasota | FL | 08/2010 | Present |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Sarasota | FL | 06/2011 | Present |
| Bank Of America, N.A. | Sarasota | FL | 09/2011 | Present |
BUSINESS OR ACTIVITY NAME: THE PILATES LOFT OF PUNTA GORDA FOR PROFIT OR NOT FOR PROFIT: PROFIT INVESTMENT RELATED: (YES OR NO) * NO NATURE OF BUSINESS: FITNESS STUDIO YOUR POSITION, TITLE, ASSOCIATION: SILENT PARTNER WITH MY SPOUSE START DATE OF RELATIONSHIP: 01/01/2010 NUMBER OF HOURS DEVOTED PER MONTH: 5 NUMBER OF HOURS DEVOTED DURING SECURITIES TRADING HOURS: 0 YOUR DUTIES: ADMINISTRATIVE I*43072 For profit or not for profit: For-Profit Organization Name of outside business organization: The Pilates Loft of Sarasota Investment related: N Address of business: Sarasota, Florida 34236 Nature of business: LLC, Position, title, association: Family Held, Start date of relationship: 1/1/2010 Number of hours devoted: 5 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Partner with my wife who manages and operates the business.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-07-08 |
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