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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 | 2024-10-22 |
| IL | RA | APPROVED | 2024-10-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Whole Foods Market | Naperville | IL | 07/2014 | 01/2020 |
| N.W.B. Next Whiskey Bar | Lisle | IL | 04/2019 | 12/2021 |
| Kettley And Co. Realtors | Aurora | IL | 01/2019 | 03/2024 |
| B. Riley Wealth Management | Memphis | TN | 01/2022 | 09/2024 |
| National Securities | Boca Raton | FL | 01/2022 | 07/2022 |
| B. Riley Wealth Advisors | Memphis | TN | 09/2023 | 09/2024 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Chicago | IL | 09/2024 | Present |
| Bank Of America, N.A. | Chicago | IL | 10/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-10-20 |
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