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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
FL RA APPROVED 2020-08-18
  • FL RA
    APPROVED
    Since 2020-08-18

Branch Locations

One Bryant Park, New York, NY 10036 • UNITED STATES

100 N Westshore Blvd, Tampa, FL 33609 • 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
Wells Fargo Clearing Services, Llc. Tampa FL 07/2017 03/2018
Wells Fargo Bank Na Tampa FL 08/2015 03/2018
Uber Tampa FL 03/2016 12/2016
Merrill Lynch, Pierce, Fenner & Smith Incorporated Tampa FL 03/2018 Present
Bank Of America., N.A. Tampa FL 03/2018 Present
  • 07/2017 → 03/2018
    Wells Fargo Clearing Services, Llc.
    Tampa, FL
  • 08/2015 → 03/2018
    Wells Fargo Bank Na
    Tampa, FL
  • 03/2016 → 12/2016
    Uber
    Tampa, FL
  • 03/2018 → Present
    Tampa, FL
  • 03/2018 → Present
    Bank Of America., N.A.
    Tampa, FL
Other Businesses

I*2322258, Entity Type: , Name of OBA: Rental Property 1, Address: zephyerhills, Florida, 33541, Investment Related: N, Position, Title, Association: Co-owner with other family members, Employee State Date: 12/01/2024, No Hours: 8 Yearly, No Hours during Trading: 0 Yearly, Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-06-23
S63 Uniform Securities Agent State Law Examination 2017-11-09
  • S66 Uniform Combined State Law Examination
    2020-06-23
  • S63 Uniform Securities Agent State Law Examination
    2017-11-09

View on SEC IAPD

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