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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2012-07-19 |
| AL | RA | APPROVED | 2009-10-23 |
| CO | RA | APPROVED | 2009-10-23 |
| IL | RA | APPROVED | 2009-10-23 |
| LA | RA | APPROVED | 2009-10-23 |
| MD | RA | APPROVED | 2009-10-23 |
| NC | RA | APPROVED | 2009-10-23 |
| WA | RA | APPROVED | 2009-10-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Charlotte | NC | 10/2009 | Present |
| Bank Of America, N.A. | Charlotte | NC | 04/2011 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-10-20 |
| S63 | Uniform Securities Agent State Law Examination | 1985-04-30 |
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