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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 |
|---|---|---|---|
| PA | RA | APPROVED | 2010-06-15 |
| CT | RA | APPROVED | 2006-12-08 |
| TX | RA | APPROVED_RES | 2006-09-22 |
Branch Locations
100 Campus Dr Division - Mid Atlantic, Florham Park, NJ 07932 • United States
2 Bala Plz, Bala Cynwyd, PA 19004 • United States
Drexel Hill, PA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Jenkintown | PA | 03/2006 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-11-11 |
| S63 | Uniform Securities Agent State Law Examination | 1981-01-26 |
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