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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 2023-05-12
CA RA APPROVED 2023-03-28
  • TX RA
    APPROVED
    Since 2023-05-12
  • CA RA
    APPROVED
    Since 2023-03-28

Branch Locations

21215 Burbank Blvd, Woodland Hills, CA 91367 • 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 Oxnard CA 12/2022 Present
Flavez Wholesale Los Angeles CA 09/2020 10/2022
Sprint Granada Hills CA 03/2018 07/2020
Macy's Northridge CA 06/2016 10/2017
Unemployed Porter Ranch CA 10/2022 12/2022
Unemployed Porter Ranch CA 07/2020 09/2020
College Of The Canyons Valencia CA 09/2016 07/2018
University Of California, Los Angeles Los Angeles CA 10/2018 07/2020
Bank Of America, N.A. Oxnard CA 02/2023 Present
  • 12/2022 → Present
    Oxnard, CA
  • 09/2020 → 10/2022
    Flavez Wholesale
    Los Angeles, CA
  • 03/2018 → 07/2020
    Sprint
    Granada Hills, CA
  • 06/2016 → 10/2017
    Macy's
    Northridge, CA
  • 10/2022 → 12/2022
    Unemployed
    Porter Ranch, CA
  • 07/2020 → 09/2020
    Unemployed
    Porter Ranch, CA
  • 09/2016 → 07/2018
    College Of The Canyons
    Valencia, CA
  • 10/2018 → 07/2020
    University Of California, Los Angeles
    Los Angeles, CA
  • 02/2023 → Present
    Bank Of America, N.A.
    Oxnard, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-03-26
  • S66 Uniform Combined State Law Examination
    2023-03-26

View on SEC IAPD

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