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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
LA RA APPROVED 2010-05-13
TX RA APPROVED_RES 1986-07-18
  • LA RA
    APPROVED
    Since 2010-05-13
  • TX RA
    APPROVED_RES
    Since 1986-07-18

Branch Locations

601 Poydras St, New Orleans, LA 70130 • United States

Metairie, LA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated New Orleans LA 04/1985 Present
Bank Of America, N.A. New Orleans LA 04/2011 Present
Other Businesses

I*79532 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: RENTAL PROPERTY INVESTMENT RELATED: N ADDRESS OF BUSINESS: METAIRIE, LOUISIANA 70001 NATURE OF BUSINESS: OTHER,INHERITED PROPERTY POSITION, TITLE, ASSOCIATION: FAMILY HELD, START DATE OF RELATIONSHIP: 1/5/2015 NUMBER OF HOURS DEVOTED: 2 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: INHERITED FAMILY PROPERTY LEASED TO CATTLE RANCHERS I*2029285, Entity Type Fiduciary, Name of OBA: Estate of D C M H Address: Metairie, Louisiana, 70001 Investment Related: Yes Position, Title, Association: Executor Employee Start Date:12-Oct-2015 No Hours: 20 yearly No Hours during trading: 0 Duties:

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1985-07-18
  • S63 Uniform Securities Agent State Law Examination
    1985-07-18
Other Names
  • Lubin Elie Mire
  • Lubin Elie Mire
  • Lubin Elie Mire Jr

View on SEC IAPD

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