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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
CA RA APPROVED 2022-08-15
  • CA RA
    APPROVED
    Since 2022-08-15

Branch Locations

2049 Century Park E, Los Angeles, CA 90067 • United States

101 S Rodeo Dr, Beverly Hills, CA 90212 • 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 Los Angeles CA 08/2016 Present
Other Businesses

I*1686255 Entity Type, Name of OBA: Zenith Gourmet Food Enterprise Address: BurbankCalifornia91506 Investment Related: No Position, Title, Association: Officer Employee Start Date: 01/29/2024 No Hours: Monthly No Hours during trading: 0 Duties: Small Business - Restaurant. Currently owned and managed by my family and I will manage it and investment capital in it by me to grow and expand the business I*: 1686255 Entity Type: For Profit Name of OBA: Round Table Pizza - LV Gourmet Enterprise Address: Burbank, CA 91506 Investment Related: No Position, Title, Association: Employee Employee Start Date: 01/29/2024 Number of Hours: 5 hrs wkly Number of Hours during trading: 0 Duties: General restaurant management such as marketing, paying bills, training employees, improving sales and customer experience. I*4916268, Entity Type: Entity For Profit, Name of OBA: Canyon Country Homes LLC, Address: Glendale, California, 91221, Investment Related: N, Position, Title, Association: ["General Partner/Managing Member"], Employee Start Date: 07/14/2026, No Hours: 5 Monthly, No Hours during Trading: 0 Monthly, Duties: Responsible for the overall management, administration, and operation. Residential Care Facility

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-07-20
  • S66 Uniform Combined State Law Examination
    2022-07-20

View on SEC IAPD

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