Bradley Joseph Richard

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

Authority	Category	Status	Date
RI	RA	APPROVED	2023-05-17
NY	RA	APPROVED	2021-04-19
TX	RA	APPROVED	2017-04-27

RI RA
APPROVED

Since 2023-05-17
NY RA
APPROVED

Since 2021-04-19
TX RA
APPROVED

Since 2017-04-27

Branch Locations

1 Financial Plaza, Providence, RI 02903 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Pittsford	NY	06/2016	Present
Unemployed	Albany	NY	01/2016	06/2016
Bank Of America, N.A.	Pittsford	NY	11/2016	Present

06/2016 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pittsford, NY
01/2016 → 06/2016

Unemployed

Albany, NY
11/2016 → Present

Bank Of America, N.A.

Pittsford, NY

Other Businesses

I*: 1984268 Entity Type: LLC Name of OBA: ShokBlockers LLC Address: Datmouth, Massachusetts Investment Related: No Position, Title, Association: Owner Employee Start Date: 29-Aug-2024 Number of Hours: 6 hrs weekly Number of Hours during trading: 0 Duties: Created a product that helps protect hockey players feet from injury. I am an owner of this company and will perform any duties/responsibilities necessary for the success of the company.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2016-09-28

S66 Uniform Combined State Law Examination

2016-09-28

Other Names

Bradley J Richard

View on SEC IAPD