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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 2023-09-08
  • TX RA
    APPROVED
    Since 2023-09-08

Branch Locations

2510 Marsha Sharp Fwy, Lubbock, TX 79415 • 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
Thrivent Financial - Laurie Truelove Lubbock TX 02/2017 12/2018
Self Employed Lubbock TX 10/2015 08/2017
Texas Tech University Lubbock TX 06/2016 12/2016
Thrivent Investment Management Inc Lubbock TX 11/2018 02/2023
Thrivent Financial Appleton WI 12/2018 04/2019
Thrivent Financial Appleton WI 04/2019 02/2023
Merrill Lynch, Pierce, Fenner & Smith Incorporated Lubbock TX 08/2023 Present
Integrity Homes Of New Deal New Deal TX 09/2022 08/2023
Bank Of America, N.A. Lubbock TX 09/2023 Present
  • 02/2017 → 12/2018
    Thrivent Financial - Laurie Truelove
    Lubbock, TX
  • 10/2015 → 08/2017
    Self Employed
    Lubbock, TX
  • 06/2016 → 12/2016
    Texas Tech University
    Lubbock, TX
  • 11/2018 → 02/2023
    Lubbock, TX
  • 12/2018 → 04/2019
    Thrivent Financial
    Appleton, WI
  • 04/2019 → 02/2023
    Thrivent Financial
    Appleton, WI
  • 08/2023 → Present
    Lubbock, TX
  • 09/2022 → 08/2023
    Integrity Homes Of New Deal
    New Deal, TX
  • 09/2023 → Present
    Bank Of America, N.A.
    Lubbock, TX
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-01-29
  • S66 Uniform Combined State Law Examination
    2019-01-29
Other Names
  • Kristyne Nicole Hagler
  • Kristyne Nicole Link

View on SEC IAPD

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