Best Investors Account Sign in
Claim This Profile
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
NY RA APPROVED 2025-10-23
  • NY RA
    APPROVED
    Since 2025-10-23

Branch Locations

One Bryant Park Gwim Chief Investment Office (Cio), 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
Bank Of America Private Bank Florham Park NJ 11/2021 12/2022
Bank Of America New York NY 12/2022 04/2025
Merrill Lynch, Pierce, Fenner & Smith Incorporated New York NY 11/2021 Present
University Of Maine Orono ME 12/2020 05/2021
Unemployed River Vale NJ 05/2021 11/2021
University Of Maine Na NJ 08/2017 05/2021
Tru Mfg Corp Norwood NJ 12/2016 08/2017
Northern Valley Regional High School At Old Tappan Old Tappan NJ 05/2015 11/2016
  • 11/2021 → 12/2022
    Bank Of America Private Bank
    Florham Park, NJ
  • 12/2022 → 04/2025
    Bank Of America
    New York, NY
  • 11/2021 → Present
    New York, NY
  • 12/2020 → 05/2021
    University Of Maine
    Orono, ME
  • 05/2021 → 11/2021
    Unemployed
    River Vale, NJ
  • 08/2017 → 05/2021
    University Of Maine
    Na, NJ
  • 12/2016 → 08/2017
    Tru Mfg Corp
    Norwood, NJ
  • 05/2015 → 11/2016
    Northern Valley Regional High School At Old Tappan
    Old Tappan, NJ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-10-23
  • S66 Uniform Combined State Law Examination
    2025-10-23

View on SEC IAPD

More in New York, NY

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor