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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 |
|---|---|---|---|
| KY | RA | APPROVED | 2026-08-25 |
Branch Locations
One Bryant Park, New York, NY 10036 • UNITED STATES
520 W New Circle Rd, Lexington, KY 40511 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Farmers Bank Of Jessamine County | Nicholasville | KY | 05/2024 | 08/2024 |
| Fayette County Public Schools | Lexington | KY | 03/2025 | 02/2026 |
| Unemployed | Lexington | KY | 12/2015 | 05/2023 |
| Unemployed | Lexington | KY | 08/2025 | 12/2025 |
| Fidelity Investments | Covington | KY | 02/2026 | 07/2026 |
| Keystone Financial Group | Lexington | KY | 05/2025 | 08/2025 |
| Unemployed | Lexington | KY | 08/2024 | 05/2025 |
| Ecp Business Capital | Lexington | KY | 05/2023 | 08/2023 |
| Unemployed | Lexington | KY | 08/2023 | 05/2024 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Lexington | KY | 07/2026 | Present |
| Kentucky Concrete | Lexington | NY | 04/2022 | 08/2022 |
| Thompsons Five Llc | Lexington | KY | 11/2022 | 12/2022 |
| Fifth Third Bank | Lexington | KY | 04/2026 | 06/2026 |
| Kroger | Lexington | KY | 10/2022 | 11/2022 |
I*5136273, Entity Type Entity Charitable, Name of OBA: Fayette County Public Schools Address: Lexington Kentucky 40503 Investment Related: No Position, Title, Association: Employee Employee Start Date: 02/15/2025 No Hours: 5 Weekly No Hours during trading: 0 Duties: I help coach the team I am an assistant baseball coach at Lafayette High School
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2026-08-25 |
| S63 | Uniform Securities Agent State Law Examination | 2026-04-03 |
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