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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 2017-12-05
TN RA APPROVED 2017-11-22
  • TX RA
    APPROVED
    Since 2017-12-05
  • TN RA
    APPROVED
    Since 2017-11-22

Branch Locations

8025 Winchester Rd, Memphis, TN 38125 • United States

6060 Poplar Ave, Memphis, TN 38119 • 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 Germantown TN 06/2017 Present
State Of Indiana Indianapolis IN 12/2013 10/2016
Carmax Indianapolis IN 06/2012 01/2017
Unemployed Memphis TN 08/2016 04/2017
Gossett Motor Cars Memphis TN 05/2017 05/2017
Bank Of America, N.A. Germantown TN 01/2018 Present
  • 06/2017 → Present
    Germantown, TN
  • 12/2013 → 10/2016
    State Of Indiana
    Indianapolis, IN
  • 06/2012 → 01/2017
    Carmax
    Indianapolis, IN
  • 08/2016 → 04/2017
    Unemployed
    Memphis, TN
  • 05/2017 → 05/2017
    Gossett Motor Cars
    Memphis, TN
  • 01/2018 → Present
    Bank Of America, N.A.
    Germantown, TN
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-11-14
  • S66 Uniform Combined State Law Examination
    2017-11-14
Other Names
  • Annise Mitchell
  • Darel Mitchell
  • Darel Annise Humphrey

View on SEC IAPD

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