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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

AuthorityCategoryStatusDate
NY RA APPROVED 2022-07-22
TX RA APPROVED 2019-06-03
NH RA APPROVED 2019-05-15
  • NY RA
    APPROVED
    Since 2022-07-22
  • TX RA
    APPROVED
    Since 2019-06-03
  • NH RA
    APPROVED
    Since 2019-05-15

Branch Locations

69 State St, Albany, NY 12207 • United States

One Bryant Park, New York, NY 10036 • 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
OrganizationCityStateFromTo
Morgan Stanley Private Bank, N.A. New York NY 08/2016 04/2019
Morgan Stanley Portsmouth NH 08/2016 04/2019
Morgan Stanley Manchester NH 08/2016 04/2019
Morgan Stanley Private Bank, N.A. New York NY 10/2018 04/2019
Merrill Lynch, Pierce, Fenner & Smith Incorporated Nashua NH 05/2019 Present
Previous Registrations
  • 2014-04-22 → 2019-04-30
    Bellevue, WA
    Kirkland, WA
    Bellevue, WA
    Portsmouth, NH
    Manchester, NH
    Colchester, VT
    Portland, ME
    Portland, ME
Other Businesses

I*1519274For profit or not for profit: Name of outside business organization: D C H TTEE U/A DTD 07/07/2004 BY D HInvestment related: NAddress of business: Clifton Park, New York, 12065, United StatesNature of business: Position, title, association: Trustee, Start date of relationship: 10/5/2023Number of hours devoted: 1 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: , I*4071265, Entity Type: Entity For Profit, Name of OBA: Excel Aquatics, Address: Albany, New York, 12205, Investment Related: N, Position, Title, Association: Employee, Employee Start Date: 04/18/2026, No Hours: 15 Weekly, No Hours during Trading: 0 Weekly, Duties: I would be providing p/t lifeguard services on the weekends and/or evenings. I am RED CROSS LIFEGUARD certified.Recreational swimming pool facilities/services/programs

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-04-22
  • S66 Uniform Combined State Law Examination
    2014-04-22
Other Names
  • Danielle Candice Malavade
  • Danielle Candice Hamer
  • Danielle Hamer

View on SEC IAPD

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