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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-07-10 |
| NY | RA | APPROVED | 2026-06-25 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 09/2022 |
| Wells Fargo Clearing Services, Llc | Fort Lauderdale | FL | 09/2022 | 06/2026 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 06/2026 | Present |
| Bank Of America, N.A. | New York | NY | 07/2026 | Present |
I*4770267, Entity Type: Entity For Profit, Name of OBA: House of Ellie, Address: New York, New York, 10003, Investment Related: N, Position, Title, Association: ["General Partner/Managing Member"], Employee Start Date: 08/01/2023, No Hours: 1 Monthly, No Hours during Trading: 0 Monthly, Duties: None just collecting rent and paying any bills It owns the rental property
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-10-31 |
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