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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 2023-02-05
NJ RA APPROVED 2023-02-01
  • TX RA
    APPROVED
    Since 2023-02-05
  • NJ RA
    APPROVED
    Since 2023-02-01

Branch Locations

1100-1800 American Blvd Ci Relationship Management, Pennington, NJ 08534 • 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 Pennington NJ 01/2022 Present
Mcdonald's Wrightstown NJ 06/2012 05/2017
Unemployed Los Angeles CA 06/2017 10/2017
Office Depot Los Angeles CA 10/2017 06/2018
Ross Los Angeles CA 06/2018 07/2019
Starbucks Los Angeles CA 08/2019 04/2020
Unemployment New Egypt NJ 04/2020 02/2021
Xtend Healthcare New Egypt NJ 02/2021 10/2021
Renaissance Lakewood NJ 10/2021 01/2022
Bank Of America N.A. Pennington NJ 02/2024 Present
  • 01/2022 → Present
    Pennington, NJ
  • 06/2012 → 05/2017
    Mcdonald's
    Wrightstown, NJ
  • 06/2017 → 10/2017
    Unemployed
    Los Angeles, CA
  • 10/2017 → 06/2018
    Office Depot
    Los Angeles, CA
  • 06/2018 → 07/2019
    Ross
    Los Angeles, CA
  • 08/2019 → 04/2020
    Starbucks
    Los Angeles, CA
  • 04/2020 → 02/2021
    Unemployment
    New Egypt, NJ
  • 02/2021 → 10/2021
    Xtend Healthcare
    New Egypt, NJ
  • 10/2021 → 01/2022
    Renaissance
    Lakewood, NJ
  • 02/2024 → Present
    Bank Of America N.A.
    Pennington, NJ
Other Businesses

Musical Performer, Non Investment Related, Work from home, self employed, 3 hours a week not during work hours.. I*718249, Entity Type: Entity For Profit, Name of OBA: Twitch, Address: San Francisco, California 94104, Investment Related: N, Position, Title, Association: Other, Employee Start Date: 09/01/2020, No Hours: 4, No Hours during trading: 0, Duties: Livestreaming platform. I occasionally receive small donations. I do it for fun not for compensation.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-01-27
  • S66 Uniform Combined State Law Examination
    2023-01-27

View on SEC IAPD

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