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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 | 1998-02-08 |
| CA | RA | APPROVED | 1997-07-08 |
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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Francisco | CA | 04/1985 | Present |
| Bank Of America, N.A. | San Francisco | CA | 07/2011 | Present |
I*2194279, Entity Type: , Name of OBA: E F Estate, Address: Schwenksville, Pennsylvania, 19474, Investment Related: N, Position, Title, Association: Executor, Employee State Date: 03-Feb-2025, No Hours: 5 Monthly, No Hours during Trading: 1 Monthly, Duties:
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-07-30 |
| S63 | Uniform Securities Agent State Law Examination | 1985-07-17 |
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