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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 2023-10-12
NY RA APPROVED 2023-09-30
  • TX RA
    APPROVED
    Since 2023-10-12
  • NY RA
    APPROVED
    Since 2023-09-30

Branch Locations

75 Rockefeller Plz, New York, NY 10019 • 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 New York NY 06/2022 Present
University Of Maryland College Park MD 03/2022 06/2022
University Of Maryland College Park MD 08/2018 05/2022
Super Foodtown / Food Circus Supermarkets Port Monmouth NJ 06/2017 01/2020
Markel Corp Middletown NJ 05/2021 08/2021
Nexgen Financial Group Iselin NJ 06/2020 08/2020
Unemployed Middletown NJ 01/2011 05/2017
  • 06/2022 → Present
    New York, NY
  • 03/2022 → 06/2022
    University Of Maryland
    College Park, MD
  • 08/2018 → 05/2022
    University Of Maryland
    College Park, MD
  • 06/2017 → 01/2020
    Super Foodtown / Food Circus Supermarkets
    Port Monmouth, NJ
  • 05/2021 → 08/2021
    Markel Corp
    Middletown, NJ
  • 06/2020 → 08/2020
    Nexgen Financial Group
    Iselin, NJ
  • 01/2011 → 05/2017
    Unemployed
    Middletown, NJ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-09-29
  • S66 Uniform Combined State Law Examination
    2023-09-29
Other Names
  • Chris Evan Price

View on SEC IAPD

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