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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
MI RA APPROVED 2026-07-24
  • MI RA
    APPROVED
    Since 2026-07-24

Branch Locations

One Bryant Park, New York, NY 10036 • UNITED STATES

39001 W 12 Mile Rd, Farmington Hills, MI 48331 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Farmington Hills MI 08/2023 Present
Strayer University Washington DC 10/2020 Present
Fca Fiat Crysler Sterling Heights MI 02/2020 08/2023
Trinity Health Farmington MI 02/2020 02/2021
Credit Acceptance Southfield MI 04/2019 02/2020
Staffing Health Paycor Southfield MI 01/2016 04/2019
Bank Of America, N.A. Farmington Hills MI 07/2026 Present
  • 08/2023 → Present
    Farmington Hills, MI
  • 10/2020 → Present
    Strayer University
    Washington, DC
  • 02/2020 → 08/2023
    Fca Fiat Crysler
    Sterling Heights, MI
  • 02/2020 → 02/2021
    Trinity Health
    Farmington, MI
  • 04/2019 → 02/2020
    Credit Acceptance
    Southfield, MI
  • 01/2016 → 04/2019
    Staffing Health Paycor
    Southfield, MI
  • 07/2026 → Present
    Bank Of America, N.A.
    Farmington Hills, MI
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2026-04-04
  • S66 Uniform Combined State Law Examination
    2026-04-04

View on SEC IAPD

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