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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2021-04-19 |
| DC | RA | APPROVED | 2021-04-08 |
| FL | RA | APPROVED | 2019-12-17 |
| CT | RA | APPROVED | 2013-12-20 |
| TX | RA | APPROVED | 2007-02-23 |
Branch Locations
75 Rockefeller Plz, New York, NY 10019 • United States
Palm Beach Gardens, FL • United States
249 Royal Palm Way, Palm Beach, FL 33480 • 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 | Garden City | NY | 12/1984 | Present |
| Bank Of America,Na | Garden City | NY | 12/2009 | Present |
I*4493266 Entity Type: N/A Name of OBA: S K Address: Palm Beach Gardens, Florida, 33410 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 04/30/2026 Number of Hours: 1, Monthly Number of Hours during trading: 1, Monthly Duties: Spouse
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-12-19 |
| S63 | Uniform Securities Agent State Law Examination | 1985-03-05 |
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