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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 |
|---|---|---|---|
| OH | RA | APPROVED | 2026-02-04 |
| TN | RA | APPROVED | 2026-01-21 |
| TX | RA | APPROVED | 2023-03-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Equitable Advisors, Llc | New York | NY | 10/2021 | 01/2023 |
| Unemployed | Westlake | OH | 01/2021 | 09/2021 |
| Starbucks Coffee Company | Westlake | OH | 10/2020 | 01/2021 |
| Textbook Painting Co. | Lakewood | OH | 06/2020 | 08/2020 |
| Emerson Climate Technologies | Sidney | OH | 08/2019 | 12/2019 |
| Medic Management Group | Akron | OH | 05/2019 | 08/2019 |
| The Honey Baked Ham Company | Rocky River | OH | 12/2018 | 04/2019 |
| Beverage Distributors | Cleveland | OH | 06/2017 | 08/2018 |
| Au Bon Pain | Dayton | OH | 08/2017 | 01/2018 |
| Pat Catans | Westlake | OH | 12/2016 | 01/2017 |
| University Of Dayton | Dayton | OH | 08/2016 | 05/2021 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Westlake | OH | 01/2023 | Present |
| Bank Of America, N.A. | Westlake | OH | 03/2023 | Present |
I*4557278 Entity Type: Entity Charitable Name of OBA: Ronald McDonald House Address: Nashville, Tennessee, 37212 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 05/11/2026 Number of Hours: 5, Monthly Number of Hours during trading: 0, Monthly Duties: The Ronald McDonald House Associate Board is a group of young professionals who work together to support the mission of RMHC. The Board hosts a variety of annual fundraising events, networking functions, and volunteer opportunities all with one mission in mind¿to keep families close. The Associate Board provides opportunities for members to expand their personal and professional networks and is committed to providing service and social opportunities. Help coordinate and plan events.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-03-05 |
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