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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 | 2023-03-06 |
| NY | RA | APPROVED | 2022-11-22 |
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 |
|---|---|---|---|---|
| Jpmorgan Chase Bank Na | New York - 270 Park Avenue | NY | 01/2016 | 07/2016 |
| Wells Fargo Advisors Financial Network, Llc | New York | NY | 08/2016 | 01/2018 |
| Cantella & Co., Inc. | Boston | MA | 01/2018 | 12/2018 |
| Global Capital Strategies | New York | NY | 01/2018 | 04/2019 |
| Suntrust Bank | New York | NY | 04/2019 | 09/2022 |
| Suntrust Investment Services | Atlanta | GA | 04/2019 | 09/2022 |
| Suntrust Advisory Services, Inc | Atlanta | GA | 05/2019 | 09/2022 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 11/2022 | Present |
| Bank Of America, N.A. | New York | NY | 01/2023 | Present |
I*1096273 For profit or not for profit: Entity For Profit Name of outside business organization: Whispering Ventures LLC Investment related: N Address of business: New York, New York Nature of business: ["Limited Liability Company"] Position, title, association: ["Officer"], Start date of relationship: 12/1/2022 Number of hours devoted: 10 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Act as broker to UK companies who are seeking to sell their products to departments stores and other retail companies in the U.S RENTAL PROPERTIES POSITION: Landlord NATURE: Owner of two rental properties located in United Kingdom (UK). Joint ownership with spouse No time is devoted to this activity as Hardings act as managing agents for the properties. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/19/2018 ADDRESS: , London NY , United States DESCRIPTION: collecting rental income from tenants GENIES INC POSITION: Consultant NATURE: Genies Inc: is a leading avatar technology company. It has created the most intelligent and dynamic avatars on the market. The Genies consumer app allows users to create fully personalized avatars to be used in apps such as imessage, Instagram, Facebook Messenger, Whats app and more. The company consists of also an Avatar Agency that creates digital versions of its clients - such as musician Offset, DJ Khaled, Quincy Jones, Marshmello, Alan Walker, Kodak Black, etc and the idea is to find them advertising, sponsorship and branding opportunities. Please see www.genies.com for more information. INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2020 ADDRESS: , Venice CA , United States DESCRIPTION: Strategic advisor to provide general advisory services to the company. This will involve; - Attend monthly management / board meetings via virtual calls. This will take place once or twice a month consisting of one hour per call. Most of the time will be conducted outside of business hours. - Provide suggestions and input regarding the strategy of the company from a PR, Digital Marketing and advertising perspective (non- financial). - Provide general advice on the Operations of the company. - Through my personal network and where appropriate, potentially arrange introductions to other corporations such as Sony, Warner Bros and other entertainment companies who may be interested in learning more about Genies. These introductions are with non-financial companies. These are soft introductions which I will facilitate between the respective companies and CEO of Genies. The introduction is not financial in nature and will not involve any aspect of financial services. In the event that either a founding member of the company (Genies Inc) becomes a client of Truist or the investment bank is selected in any capacity to either raise capital or represent the company in a 'buy side' or 'sell-side' mandate, I will immediately resign as a strategic advisor to the company. I*1096272 For profit or not for profit: Name of outside business organization: Rental Property 1 Investment related: N Address of business: Birmingham, , B120AF Nature of business: Position, title, association: Co-owner with non-family members Start date of relationship: 12/1/2022 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-05-08 |
| S63 | Uniform Securities Agent State Law Examination | 2016-04-26 |
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