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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 |
|---|---|---|---|
| PA | RA | APPROVED | 2022-04-07 |
Branch Locations
One Bryant Park, New York, NY 10036 • UNITED STATES
101 West Ave, Jenkintown, PA 19046 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 03/2015 | Present |
I"986343", Name of OBA: N/A, Address: Allentown, Pennsylvania, Investment Related: N, Position, Title: ["Owner"], Employee Start Date: 9/15/2022, No Hours: 5, Monthly No Hours: during trading: 0 Duties: My wife and I partnered with her mother to convert half of her home into a separate unit/apartment. My wife and I will act as landlords, collect rents, and manage the operating bank account for the property I*1259269 For profit or not for profit: Entity For Profit Name of outside business organization: Hawk Mountain Brewery Investment related: N Address of business: Whitehall, Pennsylvania, 18052 Nature of business: ["Limited Liability Company"] Position, title, association: ["Employee"], Start date of relationship: 4/29/2023 Number of hours devoted: 5 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , My father-in-law is opening a brewery. My wife will go and work full time as the manager. There is the potential that I will work for them from time-to-time, for which I will need to be compensated per labor laws.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-08-14 |
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