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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 2024-10-22
IL RA APPROVED 2024-10-10
  • TX RA
    APPROVED
    Since 2024-10-22
  • IL RA
    APPROVED
    Since 2024-10-10

Branch Locations

110 N Wacker Dr, Chicago, IL 60606 • 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
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
  • 07/2014 → 01/2020
    Whole Foods Market
    Naperville, IL
  • 04/2019 → 12/2021
    N.W.B. Next Whiskey Bar
    Lisle, IL
  • 01/2019 → 03/2024
    Kettley And Co. Realtors
    Aurora, IL
  • 01/2022 → 09/2024
    B. Riley Wealth Management
    Memphis, TN
  • 01/2022 → 07/2022
    National Securities
    Boca Raton, FL
  • 09/2023 → 09/2024
    B. Riley Wealth Advisors
    Memphis, TN
  • 09/2024 → Present
    Chicago, IL
  • 10/2024 → Present
    Bank Of America, N.A.
    Chicago, IL
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-10-20
  • S66 Uniform Combined State Law Examination
    2023-10-20
Other Names
  • Myranda Nadine Johnson

View on SEC IAPD

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