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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2019-08-21 |
| CA | RA | APPROVED | 2019-08-20 |
Branch Locations
One Bryant Park, New York, NY 10036 • UNITED STATES
24200 Magic Mountain Pkwy, Santa Clarita, CA 91355 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch | Glendale | CA | 03/2013 | 09/2016 |
| Bank Of America | Pasadena | CA | 03/2013 | 09/2016 |
| Cuna Brokerage Services, Inc. | Waverly | IA | 09/2016 | 08/2019 |
| Schoolsfirst | Santa Ana | CA | 09/2016 | 08/2019 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Santa Clarita | CA | 08/2019 | Present |
| Bank Of America, N.A. | Santa Clarita | CA | 08/2019 | Present |
Jen K Aesthetics. Owner. Spouse's skin care and beauty business. May 2018. Not investment related. Address: Valencia, CA. Devote zero hours to the activity. I*125694 For profit or not for profit: For-Profit Organization Name of outside business organization: Skindulge Aesthetics Investment related: N Address of business: Valencia, California 91355 Nature of business: Sole Proprietorship, Position, title, association: Owner, Start date of relationship: 8/1/2018 Number of hours devoted: 0 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: I am listed as the owner of Skindulge Aesthetics. The business is beauty related and entirely operated by my spouse. I don't have any responsibilities and/or tasks involved in the business.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-11-12 |
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