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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 |
|---|---|---|---|
| CO | RA | APPROVED | 2011-01-04 |
| TX | RA | APPROVED_RES | 2010-12-22 |
Branch Locations
6400 S Fiddlers Green Cir, Greenwood Village, CO 80111 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Englewood | CO | 12/2010 | Present |
| Bank Of America,N.A. | Greenwood Village | CO | 06/2011 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-01-26 |
| S63 | Uniform Securities Agent State Law Examination | 1981-02-06 |
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