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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 2017-11-09
FL RA APPROVED 2017-06-30
  • TX RA
    APPROVED
    Since 2017-11-09
  • FL RA
    APPROVED
    Since 2017-06-30

Branch Locations

1190 W Marion Ave, Punta Gorda, FL 33950 • United States

Port Charlotte, FL • 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 No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Punta Gorda FL 02/2017 Present
Arcadia Amoco (Marathon) Arcadia FL 01/2014 02/2017
Bank Of America, N.A. Punta Gorda FL 08/2017 Present
Other Businesses

I*3048268 Entity Type: Not for Profit Name of OBA: GRADY WHITE CLUB Address: Port Charlotte, FL 33953 Investment Related: No Position, Title, Association: EVENT Coordinator Employee Start Date: 01/01/2026 Number of Hours: 1, Weekly Number of Hours during trading: 0 Duties: BOAT CLUB THAT HOST BOATING EVENTS SUCH AS BEACH DAYS, HOLIDAY PARTIES FOR Boat Owners. EVENT Coordinator

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-06-28
  • S66 Uniform Combined State Law Examination
    2017-06-28
Other Names
  • Brittany Muse
  • Brittany Ciara Muse

View on SEC IAPD

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