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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
TX RA APPROVED 2025-10-27
RI RA APPROVED 2025-10-22
  • TX RA
    APPROVED
    Since 2025-10-27
  • RI RA
    APPROVED
    Since 2025-10-22

Branch Locations

670 George Washington Hwy Ci Client Services, Lincoln, RI 02865 • 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 Lincoln RI 05/2025 Present
Blackstone Valley Prep Cumberland RI 01/2023 05/2025
Unemployed Pawtucket RI 01/2015 07/2018
Providence College Providence RI 07/2018 05/2022
Executive Office Of Health And Human Service - State Of Ri Providence RI 04/2024 02/2025
Unemployed Cumberland RI 05/2022 01/2023
  • 05/2025 → Present
    Lincoln, RI
  • 01/2023 → 05/2025
    Blackstone Valley Prep
    Cumberland, RI
  • 01/2015 → 07/2018
    Unemployed
    Pawtucket, RI
  • 07/2018 → 05/2022
    Providence College
    Providence, RI
  • 04/2024 → 02/2025
    Executive Office Of Health And Human Service - State Of Ri
    Providence, RI
  • 05/2022 → 01/2023
    Unemployed
    Cumberland, RI
Other Businesses

I*: 2498275 Entity Type: For Profit Name: Bloc Property Solutions LLC Investment-related: No Address: Cumberland, RI 02864 Position/Title: Co-Founder & Member of LLC Start Date: January 2024 Hours/Month: Approximately 8 hrs wkly Hours During Securities Trading: 0 Duties: Oversee business operations, manage communications with contractors and clients, and coordinate project budgets. Duties are administrative and operational in nature, with no financial advising or securities-related responsibilities. Real estate solutions, including property management, renovations, and acquisitions I*: 2496345 Entity Type: For Profit Name: Platinum Solutions LLC Investment-related: No Address: Cumberland, RI 02864 Position/Title: Sole Proprietor / President Start Date: 01/01/2014 Hours/Month: Approximately 8 hrs wkly Hours During Securities Trading: 0 Duties: Provide administrative support to small business owners, help with business formation, and offer general strategic planning. No financial services or investment advising involved. Business startup consulting and real estate support services I*: 2498277 Entity Type: For Profit Name: Fine Shine Auto Detail LLC Investment-related: No Address: Cumberland, RI 02864 Position/Title: Co-Owner / Operations Manager Start Date:06/01/2022 Hours/Month: 5 hrs mthly Hours During Securities Trading: 0 Duties: Manage logistics, scheduling, and customer service for auto detailing. Provide administrative support without engaging in financial or investment-related activities. Mobile car detailing services I*: 2591305 Entity Type: For Profit Name of OBA: Azylor Build & Design, LLC Address: Providence, RI 02907 Investment Related: No Position, Title, Association: General Partner/Managing Member Employee Start Date: 05/30/2025 Number of Hours: 2 hrs wkly Number of Hours during trading: 0 Duties: Joint venture Real Estate investments

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-10-16
  • S66 Uniform Combined State Law Examination
    2025-10-16
Other Names
  • Edy Pineda

View on SEC IAPD

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