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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 | 2020-03-09 |
| NV | RA | APPROVED | 2017-12-11 |
Branch Locations
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 |
|---|---|---|---|---|
| Ubs Financial Services Inc | Henderson | NV | 11/2008 | 11/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Henderson | NV | 11/2017 | Present |
| Bank Of America, N.A. | Henderson | NV | 02/2018 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-11-06 |
| S63 | Uniform Securities Agent State Law Examination | 1985-06-10 |
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