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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 2025-09-17
NY RA APPROVED 2025-08-16
  • TX RA
    APPROVED
    Since 2025-09-17
  • NY RA
    APPROVED
    Since 2025-08-16

Branch Locations

One Bryant Park, New York, NY 10036 • 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 08/2022 Present
Unemployed Brooklyn NY 05/2022 08/2022
Gorillas Technologies New York NY 01/2022 05/2022
Informa Connect New York NY 10/2021 01/2022
Fanduel New York NY 08/2019 10/2019
National Basketball Association Secaucus NJ 02/2021 10/2021
Jetblue Airways Long Island City NY 10/2019 01/2020
Florida State University Tallahassee FL 05/2015 05/2019
Apple Inc Tallahassee FL 06/2016 07/2017
Jim Moran School Of Entrepreneurship, Florida State University Tallahassee FL 08/2018 05/2019
National Basketball Association Secaucus NJ 01/2020 09/2020
Unemployed Brooklyn NY 09/2020 02/2021
  • 08/2022 → Present
    New York, NY
  • 05/2022 → 08/2022
    Unemployed
    Brooklyn, NY
  • 01/2022 → 05/2022
    Gorillas Technologies
    New York, NY
  • 10/2021 → 01/2022
    Informa Connect
    New York, NY
  • 08/2019 → 10/2019
    Fanduel
    New York, NY
  • 02/2021 → 10/2021
    National Basketball Association
    Secaucus, NJ
  • 10/2019 → 01/2020
    Jetblue Airways
    Long Island City, NY
  • 05/2015 → 05/2019
    Florida State University
    Tallahassee, FL
  • 06/2016 → 07/2017
    Apple Inc
    Tallahassee, FL
  • 08/2018 → 05/2019
    Jim Moran School Of Entrepreneurship, Florida State University
    Tallahassee, FL
  • 01/2020 → 09/2020
    National Basketball Association
    Secaucus, NJ
  • 09/2020 → 02/2021
    Unemployed
    Brooklyn, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-08-16
  • S66 Uniform Combined State Law Examination
    2025-08-16

View on SEC IAPD

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