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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 1983-02-23
  • TX RA
    APPROVED
    Since 1983-02-23

Branch Locations

5910 N Central Expy, Dallas, TX 75206 • 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 Dallas TX 03/1982 Present
Bank Of America, Na Dallas TX 12/2009 Present
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1982-05-18
  • S63 Uniform Securities Agent State Law Examination
    1982-05-18
Other Names
  • Thomas Devin Frye
  • T Devin Frye
  • T. Devin Frye
  • Devin Frye

View on SEC IAPD

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