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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
SC RA APPROVED 2025-04-28
TX RA APPROVED 2024-07-05
  • SC RA
    APPROVED
    Since 2025-04-28
  • TX RA
    APPROVED
    Since 2024-07-05

Branch Locations

75 Port City Lndg, Mount Pleasant, SC 29464 • United States

One Bryant Park, New York, NY 10036 • 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 Atlanta GA 03/2022 Present
Atlanta Voiceover Studio Atlanta GA 10/2018 03/2022
Unemployed Douglasville GA 07/2018 10/2018
Douglas County Board Of Commissioners Douglasville GA 06/2018 07/2018
Alexander High School Douglasville GA 08/2013 05/2018
  • 03/2022 → Present
    Atlanta, GA
  • 10/2018 → 03/2022
    Atlanta Voiceover Studio
    Atlanta, GA
  • 07/2018 → 10/2018
    Unemployed
    Douglasville, GA
  • 06/2018 → 07/2018
    Douglas County Board Of Commissioners
    Douglasville, GA
  • 08/2013 → 05/2018
    Alexander High School
    Douglasville, GA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-05-30
  • S66 Uniform Combined State Law Examination
    2024-05-30

View on SEC IAPD

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