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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 |
|---|---|---|---|
| RI | RA | APPROVED | 2026-08-28 |
Branch Locations
One Bryant Park, New York, NY 10036 • UNITED STATES
3400 Pawtucket Ave Ci Client Services, Riverside, RI 02915 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Towne Park | Rhode Island | RI | 03/2022 | 10/2022 |
| Fidelity Investments | Smithfield | RI | 04/2024 | 08/2024 |
| Prepareri/ Innovate Newport | Rhode Island | RI | 06/2019 | 08/2019 |
| Choice Hotels | Rhode Island | RI | 08/2018 | 11/2022 |
| Salve Regina University | Rhode Island | RI | 09/2020 | 12/2023 |
| Wayfinder Hotel | Rhode Island | RI | 08/2021 | 06/2022 |
| Hammetts Hotel | Rhode Island | RI | 08/2022 | 03/2024 |
| Fabnewport | Rhode Island | RI | 02/2020 | 08/2023 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Riverside | RI | 07/2026 | Present |
| Hammetts Hotel | Newport | RI | 01/2026 | Present |
| Fulbright | Lugones | 09/2024 | 06/2025 | |
| Unemployed | Newport | RI | 06/2025 | 01/2026 |
| Fabnewport | Newport | RI | 07/2026 | 07/2026 |
| Rogers High School | Newport | RI | 09/2016 | 06/2020 |
| Salve Regina University | Newport | RI | 09/2020 | 01/2024 |
-H. Hotel - Not Investment related -Newport, RI -Hotel Front Desk Agent -Started January 2026 -About 64 hours a month spent here -0 hours during securities trading hours -Responsible for the front desk, creating reservations, answering calls, and check-in/check-out of guest.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2026-08-28 |
| S63 | Uniform Securities Agent State Law Examination | 2024-06-28 |
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