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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
TX RA APPROVED 2014-12-18
CA RA APPROVED 2014-12-11
  • TX RA
    APPROVED
    Since 2014-12-18
  • CA RA
    APPROVED
    Since 2014-12-11

Branch Locations

2049 Century Park E Pbig - Century City, Los Angeles, CA 90067 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Los Angeles CA 04/2014 Present
Bank Of America, N.A. Los Angeles CA 04/2015 Present
Other Businesses

I*2255282, Entity Type: For Profit, Name of OBA: DeCuir Family Trust dated 10/15/2020, Address: Inglewood, California, 90302, Investment Related: N, Position, Title, Association: Owner, Employee State Date: 05/01/2024, No Hours: 12 Yearly, No Hours during Trading: 0 Yearly, Duties: Rental property for additional income. I will be the landlord. I*3052265 Entity Type: Rental Property Name of OBA: Rental Property 1 Address: Inglewood, California, 90302 Investment Related: No Position, Title, Association: Co-owner with other family members Employee Start Date: 03/03/2025 Number of Hours: 1, Monthly Number of Hours during trading: 0 Duties: Co-owner with other family members Rental Property

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-12-09
  • S66 Uniform Combined State Law Examination
    2014-12-09

View on SEC IAPD

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