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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 |
|---|---|---|---|
| PA | RA | APPROVED | 2023-03-23 |
| NY | RA | APPROVED | 2021-04-19 |
| CT | RA | APPROVED | 2016-11-01 |
| TX | RA | APPROVED_RES | 2016-09-01 |
Branch Locations
One Bryant Park Pbig - New York, New York, NY 10036 • United States
Ardmore, PA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Deutsche Bank Securities Inc | New York | NY | 12/2012 | 07/2016 |
| Db Trust Company Americas | New York | NY | 11/2012 | 07/2016 |
| Bank Of America, N.A. | New York | NY | 08/2016 | Present |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 07/2016 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-10-31 |
| S63 | Uniform Securities Agent State Law Examination | 1996-09-09 |
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