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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

AuthorityCategoryStatusDate
PA RA APPROVED 2024-09-23
TX RA APPROVED 2024-09-23
NJ RA APPROVED 2024-09-19
  • PA RA
    APPROVED
    Since 2024-09-23
  • TX RA
    APPROVED
    Since 2024-09-23
  • NJ RA
    APPROVED
    Since 2024-09-19

Branch Locations

1100-1800 American Blvd Ci Client Services, Pennington, NJ 08534 • 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
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Pennington NJ 05/2024 Present
Doordash Bensalem PA 11/2020 10/2022
Uber Feasterville Trevose PA 06/2017 02/2020
Lyft Feasterville Trevose PA 01/2018 02/2020
Primo Hoagies Bensalem PA 11/2019 06/2020
Penn State University Abington PA 08/2014 05/2022
Unemployed Feasterville PA 01/2014 09/2016
Unemployed Bensalem PA 02/2020 08/2020
Risk Strategies Company Pipersville PA 02/2021 05/2024
Bucks County Community College Newtown PA 08/2018 05/2020
  • 05/2024 → Present
    Pennington, NJ
  • 11/2020 → 10/2022
    Doordash
    Bensalem, PA
  • 06/2017 → 02/2020
    Uber
    Feasterville Trevose, PA
  • 01/2018 → 02/2020
    Lyft
    Feasterville Trevose, PA
  • 11/2019 → 06/2020
    Primo Hoagies
    Bensalem, PA
  • 08/2014 → 05/2022
    Penn State University
    Abington, PA
  • 01/2014 → 09/2016
    Unemployed
    Feasterville, PA
  • 02/2020 → 08/2020
    Unemployed
    Bensalem, PA
  • 02/2021 → 05/2024
    Risk Strategies Company
    Pipersville, PA
  • 08/2018 → 05/2020
    Bucks County Community College
    Newtown, PA
Other Businesses

I*2591290, Entity Type: Entity For Profit,Entity Publicly Traded, Name of OBA: Doordash, Address: San Francisco, California, 94107, Investment Related: N, Position, Title, Association: Consultant/Independent Contractor, Employee State Date: 07/18/2025, No Hours: 10 Weekly, No Hours during Trading: 0 Weekly, Duties: Food delivery, Part-time job I*2591291, Entity Type: Entity For Profit,Entity Publicly Traded, Name of OBA: Uber, Address: San Francisco, California, 94158, Investment Related: N, Position, Title, Association: Consultant/Independent Contractor, Employee State Date: 07/18/2025, No Hours: 5 Weekly, No Hours during Trading: 0 Weekly, Duties: Food delivery, Part-time job

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-09-18
  • S66 Uniform Combined State Law Examination
    2024-09-18

View on SEC IAPD

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