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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 | 2026-07-24 |
| CA | RA | APPROVED | 2026-07-22 |
Branch Locations
One Bryant Park, New York, NY 10036 • UNITED STATES
6245 E Broadway Blvd, Tucson, AZ 85711 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.P. Morgan Securities Llc | Tucson | AZ | 02/2023 | 12/2025 |
| Jpmorgan Chase Bank Na | Tucson | AZ | 02/2023 | 12/2025 |
| Ac Hotel Downtown Tucson By Marriott | Tucson | AZ | 08/2018 | 08/2021 |
| Williams Centre Towneplace Suites | Tucson | AZ | 02/2016 | 08/2018 |
| Vantage West Credit Union | Tucson | AZ | 08/2021 | 02/2023 |
| Empower Financial Services, Inc | Greenwood Village | CO | 01/2026 | 06/2026 |
| Empower Advisory Group | Greenwood Village | CO | 03/2026 | 06/2026 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Tucson | AZ | 06/2026 | Present |
| La Posada Lodge And Casitas | Tucson | AZ | 08/2019 | 11/2019 |
| Bank Of America, N.A. | Tucson | AZ | 07/2026 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2026-03-06 |
| S63 | Uniform Securities Agent State Law Examination | 2023-05-23 |
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