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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-03-04 |
| NC | RA | APPROVED | 2024-02-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| University Of Alabama School Of Law | Tuscaloosa | AL | 07/2014 | 05/2017 |
| Unemployed | Charlotte | NC | 05/2017 | 10/2017 |
| Axa Advisors, Llc | New York | NY | 10/2017 | 06/2020 |
| Equitable Advisors, Llc | New York | NY | 10/2017 | 06/2022 |
| National Securities Corporation | Charlotte | NC | 06/2022 | 07/2022 |
| B. Riley Wealth Advisors | Charlotte | NC | 06/2022 | 01/2024 |
| B. Riley Wealth Management | Charlotte | NC | 07/2022 | 01/2024 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Charlotte | NC | 01/2024 | Present |
| Bank Of America, N.A | Charlotte | NC | 02/2024 | Present |
1. B. Riley Wealth Insurance; Investment - Related; 6000 Fairview Rd Ste 1114 Charlotte NC 28210; Life Insurance and Annuities; Agent; Start date: July 2022 ; 10 hrs/month devoted during securities trading hours; Agent, Insurance/Annuity sales. 2. JBT Wealth Management; Investment-related; 6000 Fairview Road Ste 1107 Charlotte, NC 28210; DBA for financial securities business conducted through B. Riley Wealth Management; start date 12/8/2023. 40 hours / week devoted during securities trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-07-13 |
| S63 | Uniform Securities Agent State Law Examination | 2017-11-13 |
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