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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 | 2023-01-31 |
| NC | RA | APPROVED | 2022-11-18 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Charlotte | NC | 05/2012 | 10/2022 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Charlotte | NC | 10/2022 | Present |
| Bank Of America, N.A. | Charlotte | NC | 01/2023 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 10/2022 |
1. RENTAL PROPERTY OWNER; 1613 SCENIC GULF DR. UNIT 1, DESTIN FL; 1 HOUR AFTER BUSINESS; 0 DURING BUSINESS; USE PROPERTY MANAGEMENT COMPANY FOR WEEKLY AND MONTHLY RENTALS AND MAINTENANCE******* 2.PARTIAL OWNER OF RENTAL PROPERTY; CENIC GULF DRIVE UNIT 11A/B MIRAMAR BEACH DR 32550; 1 HOUR AFTER BUSINESS; 0 DURING BUSINESS********* AGHHW PARTNERS 1 LLC- 0 HOURS DURING BUSINESS HOURS- EFFECTIVE 11/204 For profit or not for profit: Queen City Trykes Name of outside business organization: Investment related: none Address of business: Nature of business: Give away trykes to children with special needs Compensation for Activity (Yes/No only): no Position, title, associationTreasurer but not authorized to sign checks Start date of relationship: 2010 Number of hours devoted: 5 Number of hours devoted during trading hours: 0 Duties: Currently no duties/ give trykes away if funds are donated
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-08-06 |
| S63 | Uniform Securities Agent State Law Examination | 1998-04-16 |
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