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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 2023-03-21
VA RA APPROVED 2023-03-10
  • TX RA
    APPROVED
    Since 2023-03-21
  • VA RA
    APPROVED
    Since 2023-03-10

Branch Locations

One Bryant Park, New York, NY 10036 • UNITED STATES

11820 Fountain Way, Newport News, VA 23606 • 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 Virginia Beach VA 05/2019 Present
Tysinger Motor Company Hampton VA 01/2019 05/2019
Starbucks Hampton VA 02/2016 12/2019
Other Businesses

I*919233, Entity Type: For Profit, Name of OBA: Smart Property Pro LLC, Address: Hampton, Virginia 23663, Investment Related: N, Position, Title, Association: Officer, Employee Start Date: 02/17/2021, No Hours: 0, No Hours during trading: 0, Duties: Purpose of entity is to put rental income from rental properties however, there is no current business activity. I*: 2469269 Entity Type: Charitable Name of OBA: St Jude's Childrens Research Hospital Address: Norfolk, VA 23510 Investment Related: No Position, Title, Association: Committee member Employee Start Date: 05/19/2025 Number of Hours: 2 hrs annually Number of Hours during trading: 0 Duties: We will be planning a fundraising gala for the eradication of childhood cancer. I will not have access to funds directly, I will only be involved in the broad level planning and as a liaison to vendors and as a host the day of the event. This is an annual event for St. Jude. I*: 2588301 Entity Type: Charitable Name of OBA: Rotary International Address: Newport News, Virginia, 23606 Investment Related: No Position, Title, Association: Volunteer Employee Start Date: 7/11/2025 Number of Hours: 4 hrs mthly Number of Hours during trading: 0 Duties: To better the local community we live in. Be a part of club meetings and volunteer events.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-03-09
  • S66 Uniform Combined State Law Examination
    2023-03-09

View on SEC IAPD

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