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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 | 2017-05-23 |
| OH | RA | APPROVED | 2017-05-22 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Cincinnati | OH | 06/2009 | 05/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Cincinnati | OH | 05/2017 | Present |
| Uber | Cincinnati | OH | 09/2016 | 11/2016 |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2006-11-13 |
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