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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 | 2023-03-03 |
| GA | RA | APPROVED | 2023-02-27 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Raleigh | NC | 10/2017 | 04/2018 |
| Citrix Systems | Raleigh | NC | 01/2017 | 07/2017 |
| Unemployed | Raleigh | NC | 07/2017 | 10/2017 |
| East Carolina University | Greenville | NC | 08/2013 | 12/2016 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Raleigh | NC | 06/2018 | 09/2019 |
| Bank Of America, N.A. | Raleigh | NC | 10/2018 | 09/2019 |
| Wells Fargo Clearing Services, Llc | Raleigh | NC | 03/2020 | 07/2021 |
| Unemployed | Raleigh | NC | 09/2019 | 03/2020 |
| Unemployed | Raleigh | NC | 04/2018 | 06/2018 |
| Fidelity Investments | Jacksonville | FL | 07/2021 | 02/2023 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Alpharetta | GA | 02/2023 | Present |
| Bank Of America, N.A. | Alpharetta | GA | 03/2023 | Present |
I*4171271 Entity Type: Charitable Name of OBA: Wilderness Works Address: Atlanta, Georgia, 30312 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 03/30/2026 Number of Hours: 5, Monthly Number of Hours during trading: 0 Duties: Invited to be on the Board of Directors for this non-profit organization that I have been volunteering with over the last year and a half Board of Directors, assist with the direction and outreach of the non-profit organization
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-05-25 |
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