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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
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
  • NY RA
    APPROVED
    Since 2021-04-19
  • DC RA
    APPROVED
    Since 2021-04-08
  • FL RA
    APPROVED
    Since 2019-12-17
  • CT RA
    APPROVED
    Since 2013-12-20
  • TX RA
    APPROVED
    Since 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

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Garden City NY 12/1984 Present
Bank Of America,Na Garden City NY 12/2009 Present
Other Businesses

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

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-12-19
S63 Uniform Securities Agent State Law Examination 1985-03-05
  • S66 Uniform Combined State Law Examination
    2013-12-19
  • S63 Uniform Securities Agent State Law Examination
    1985-03-05
Other Names
  • Jill Sheila Braunstein

View on SEC IAPD

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