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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 2022-08-30
NC RA APPROVED 2022-08-01
  • TX RA
    APPROVED
    Since 2022-08-30
  • NC RA
    APPROVED
    Since 2022-08-01

Branch Locations

One Bryant Park, New York, NY 10036 • UNITED STATES

800 Green Valley Rd, Greensboro, NC 27408 • 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 Greensboro NC 11/2011 Present
Other Businesses

the name of the other business- SCENTSY whether the business is investment-related- NO the address of the other business; Home office- 2701 E. PINE AVENUE MERIDIAN, ID 83642 the nature of the other business; HOME AND PERSONAL FRAGRANCE your position; CONSULTANT title, or relationship with the other business; the start date of your relationship; 11/2020 the approximate number of hours/month you devote to the other business; 2 TO 4 HOURS MONTHLY VERY MINIMAL- MORE A HOBBY the number of hours you devote to the other business during securities trading hours; 0 and briefly describe your duties relating to the other business; SELL SCENTSY PRODUCTS I*: 1979264 Entity Type: POA Name of OBA: Power of Attorney Address: Greensboro, North Carolina Investment Related: No Position, Title, Association: POA Employee Start Date: 13-Feb-2023 Number of Hours: 0 Number of Hours during trading: 0 Duties: POA Family Friend I*: 1976293 Entity Type: Executor Name of OBA: Executor Address: Greensboro, North Carolina Investment Related: No Position, Title, Association: Executor Employee Start Date: 13-Feb-2023 Number of Hours: 0 Number of Hours during trading: 0 Duties: Executor Family Friend

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-07-30
  • S66 Uniform Combined State Law Examination
    2022-07-30
Other Names
  • Mickael Elizabeth Hooker
  • Mickael Ellizabeth Gautier

View on SEC IAPD

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