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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 2025-04-29
NC RA APPROVED 2025-04-09
  • TX RA
    APPROVED
    Since 2025-04-29
  • NC RA
    APPROVED
    Since 2025-04-09

Branch Locations

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

6000 Fairview Rd, Charlotte, NC 28210 • 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 Charlotte NC 12/2021 Present
Harris Teeter Fort Mill SC 06/2018 06/2023
East Carolina University Greenville NC 08/2014 05/2018
Harris Teeter Greenville NC 03/2016 10/2017
East Carolina University Greenville NC 01/2019 06/2021
  • 12/2021 → Present
    Charlotte, NC
  • 06/2018 → 06/2023
    Harris Teeter
    Fort Mill, SC
  • 08/2014 → 05/2018
    East Carolina University
    Greenville, NC
  • 03/2016 → 10/2017
    Harris Teeter
    Greenville, NC
  • 01/2019 → 06/2021
    East Carolina University
    Greenville, NC
Other Businesses

I*: 652263 Entity Type: Entity For Profit Name of OBA: Harris Teeter Address: Fort Mill, SC Investment Related: No Position, Title, Association: Employee Employee Start Date: 01/05/2022 Number of Hours: 8 hrs mthly Number of Hours during trading: 0 Duties: Part-time cashier position, once a month.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-04-08
  • S66 Uniform Combined State Law Examination
    2025-04-08

View on SEC IAPD

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