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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 2023-08-18
FL RA APPROVED 2023-08-17
  • TX RA
    APPROVED
    Since 2023-08-18
  • FL RA
    APPROVED
    Since 2023-08-17

Branch Locations

701 Brickell Ave, Miami, FL 33131 • 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
Israel Discount Bank Of New York Aventura FL 02/2021 07/2023
Idb Capital Corp. Aventura FL 03/2022 07/2023
Citibank Dania Beach FL 06/2018 02/2021
Solstice Sunrise FL 02/2018 06/2018
Unemployed Sunrise FL 02/2018 03/2018
Gap Outlet Sunrise FL 11/2014 02/2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated Miami FL 07/2023 Present
Broward College Davie FL 08/2016 04/2018
Florida International University Miami FL 08/2018 07/2020
  • 02/2021 → 07/2023
    Israel Discount Bank Of New York
    Aventura, FL
  • 03/2022 → 07/2023
    Idb Capital Corp.
    Aventura, FL
  • 06/2018 → 02/2021
    Citibank
    Dania Beach, FL
  • 02/2018 → 06/2018
    Solstice
    Sunrise, FL
  • 02/2018 → 03/2018
    Unemployed
    Sunrise, FL
  • 11/2014 → 02/2018
    Gap Outlet
    Sunrise, FL
  • 07/2023 → Present
    Miami, FL
  • 08/2016 → 04/2018
    Broward College
    Davie, FL
  • 08/2018 → 07/2020
    Florida International University
    Miami, FL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-02-18
S63 Uniform Securities Agent State Law Examination 2022-05-14
  • S66 Uniform Combined State Law Examination
    2023-02-18
  • S63 Uniform Securities Agent State Law Examination
    2022-05-14

View on SEC IAPD

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