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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2020-12-21 |
| CT | RA | APPROVED | 2020-12-10 |
| TX | RA | APPROVED_RES | 2016-05-26 |
Branch Locations
45 William St, Wellesley Hills, MA 02481 • United States
Naples, FL • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Northhampton | MA | 10/1999 | Present |
| Bank Of America, N.A. | Wellesley Hills | MA | 05/2011 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-12-09 |
| S65 | Uniform Investment Adviser Law Examination | 1999-12-27 |
| S63 | Uniform Securities Agent State Law Examination | 1999-02-23 |
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