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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 | 2023-01-18 |
| NJ | RA | APPROVED | 2021-11-04 |
| TX | RA | APPROVED | 2021-09-03 |
| FL | RA | APPROVED | 2021-09-02 |
Branch Locations
Jersey City, NJ • United States
225 Liberty St, New York, NY 10281 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Goldman Sachs & Co. | New York | NY | 06/2015 | 08/2021 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 08/2021 | Present |
| Bank Of America, N.A. | New York | NY | 09/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-08-30 |
| S66 | Uniform Combined State Law Examination | 2015-08-08 |
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