Best Investors
Account
Sign in
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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-12-08 |
| AL | RA | APPROVED | 2017-06-13 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Birmingham | AL | 05/2017 | Present |
| Mcdonald Group | Birmingham | AL | 09/2015 | 02/2017 |
| Bank Of America, N.A. | Birmingham | AL | 08/2017 | Present |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2011-12-09 |
| S65 | Uniform Investment Adviser Law Examination | 2007-04-14 |
Reach out to this advisor