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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 | 2024-05-15 |
| NY | RA | APPROVED | 2024-04-19 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services | Washington D.C. | DC | 07/2022 | 02/2023 |
| Syracuse University | Syracuse | NY | 08/2018 | 07/2022 |
| Clifton College | Bristol | 08/2012 | 06/2017 | |
| Aflac | New York | NY | 06/2021 | 08/2021 |
| Chapel Hill Denham | Lagos | 06/2019 | 08/2019 | |
| Guarantee Trust Bank | Lagos | 06/2017 | 08/2017 | |
| Ghpp | Lagos | 08/2017 | 08/2018 | |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 04/2024 | Present |
| Unemployed | Washington, D.C. | DC | 02/2023 | 04/2024 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-11-06 |
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