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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2021-04-19 |
| NJ | RA | APPROVED | 2020-12-17 |
| TX | RA | APPROVED | 2019-06-19 |
| CT | RA | APPROVED | 2019-06-03 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 06/2014 | 03/2018 |
| Northwestern Mutual Investment Services Llc | Morristown | NJ | 12/2016 | 03/2018 |
| Tuscany Italian Specialties | Old Bridge | NJ | 04/2012 | 11/2016 |
| Student | Old Bridge | NJ | 09/2006 | 05/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 04/2018 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-05-31 |
| S63 | Uniform Securities Agent State Law Examination | 2017-02-07 |
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