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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 2026-08-03
NJ RA APPROVED 2026-07-31
  • TX RA
    APPROVED
    Since 2026-08-03
  • NJ RA
    APPROVED
    Since 2026-07-31

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 05/2026 Present
New Jersey Institute Of Technology Newark NJ 09/2020 05/2024
Hood College Frederick MD 08/2024 05/2026
Free Lance Flemington NJ 01/2014 09/2020
Hgc Shackamaxon Llc Whitehouse NJ 05/2024 01/2026
Hunterdon Central High School Flemington NJ 09/2014 05/2020
Copper Hill Country Club Ringoes NJ 04/2018 08/2018
3 Step Sports Llc Woburn MA 05/2025 07/2025
Ridge At Back Brook Llc Ringoes NJ 05/2025 07/2025
Tpc Jasna Polana (Oasis Outsourcing) Princeton NJ 04/2026 Present
Maryland Lacrosse Showcase Llc Frederick MD 05/2025 06/2025
Mercedes-Benz Flemington NJ 09/2019 01/2020
Creter Vault Fleminton NJ 04/2020 07/2020
Blue Star Lacrosse Llc Princeton NJ 04/2021 05/2024
Team Maryland Lacrosse Llc Frederick NJ 09/2024 01/2026
  • 05/2026 → Present
    Pennington, NJ
  • 09/2020 → 05/2024
    New Jersey Institute Of Technology
    Newark, NJ
  • 08/2024 → 05/2026
    Hood College
    Frederick, MD
  • 01/2014 → 09/2020
    Free Lance
    Flemington, NJ
  • 05/2024 → 01/2026
    Hgc Shackamaxon Llc
    Whitehouse, NJ
  • 09/2014 → 05/2020
    Hunterdon Central High School
    Flemington, NJ
  • 04/2018 → 08/2018
    Copper Hill Country Club
    Ringoes , NJ
  • 05/2025 → 07/2025
    3 Step Sports Llc
    Woburn, MA
  • 05/2025 → 07/2025
    Ridge At Back Brook Llc
    Ringoes, NJ
  • 04/2026 → Present
    Tpc Jasna Polana (Oasis Outsourcing)
    Princeton, NJ
  • 05/2025 → 06/2025
    Maryland Lacrosse Showcase Llc
    Frederick , MD
  • 09/2019 → 01/2020
    Mercedes-Benz
    Flemington, NJ
  • 04/2020 → 07/2020
    Creter Vault
    Fleminton, NJ
  • 04/2021 → 05/2024
    Blue Star Lacrosse Llc
    Princeton, NJ
  • 09/2024 → 01/2026
    Team Maryland Lacrosse Llc
    Frederick , NJ
Other Businesses

I*5368268, Entity Type: Entity For Profit, Name of OBA: S&F Honey Farm, Address: Flemington, New Jersey, 08822, Investment Related: N, Position, Title, Association: ["Employee"], Employee Start Date: 08/15/2026, No Hours: 16 Weekly, No Hours during Trading: 0 Weekly, Duties: Farm hand. Side Hustle. The LLC is an apiary the day to day task vary on the agricultural calendar.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2026-07-30
  • S66 Uniform Combined State Law Examination
    2026-07-30

View on SEC IAPD

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