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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
MD RA APPROVED 2025-09-10
TX RA APPROVED 2020-01-06
  • MD RA
    APPROVED
    Since 2025-09-10
  • TX RA
    APPROVED
    Since 2020-01-06

Branch Locations

Reisterstown, MD • United States

11333 Mccormick Rd Ci Client Services, Hunt Valley, MD 21031 • United States

9000 Southside Blvd Ci Client Services, Jacksonville, FL 32256 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Chandler AZ 12/2017 Present
Arizona Soccer Club Gilbert AZ 05/2019 Present
Strikers Soccer Club Mesa AZ 05/2018 05/2019
Quiktrip Tempe AZ 02/2017 07/2017
Higley High School Gilbert AZ 08/2016 07/2017
Arizona Soccer Club Gilbert AZ 05/2013 05/2018
Coerver Carolinas Florence SC 07/2017 11/2017
Arizona Soccer Club Gilbert AZ 05/2013 05/2017
Bank Of America, N.A. Chandler AZ 11/2020 Present
  • 12/2017 → Present
    Chandler, AZ
  • 05/2019 → Present
    Arizona Soccer Club
    Gilbert, AZ
  • 05/2018 → 05/2019
    Strikers Soccer Club
    Mesa, AZ
  • 02/2017 → 07/2017
    Quiktrip
    Tempe, AZ
  • 08/2016 → 07/2017
    Higley High School
    Gilbert, AZ
  • 05/2013 → 05/2018
    Arizona Soccer Club
    Gilbert, AZ
  • 07/2017 → 11/2017
    Coerver Carolinas
    Florence, SC
  • 05/2013 → 05/2017
    Arizona Soccer Club
    Gilbert, AZ
  • 11/2020 → Present
    Bank Of America, N.A.
    Chandler, AZ
Other Businesses

I*2653283, Entity Type: , Name of OBA: Estate of B and L H, Address: Chandler, Arizona, 85226, Investment Related: N, Position, Title, Association: Executor, Employee State Date: 01/01/2024, No Hours: 0 Yearly, No Hours during Trading: 0 Yearly, Duties: I*2654299, Entity Type: , Name of OBA: Estate of L V, Address: Gilbert, Arizona, 85298, Investment Related: N, Position, Title, Association: Executor, Employee State Date: 01/01/2024, No Hours: 0 Yearly, No Hours during Trading: 0 Yearly, Duties: I*3113265 Entity Type: N/A Name of OBA: Rental Property 1 Address: Queen Creek, Arizona, 85142 Investment Related: No Position, Title, Association: Co-owner with other family members Employee Start Date: 11/03/2025 Number of Hours: 0, Yearly Number of Hours during trading: 0, Yearly Duties: N/A

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-12-23
  • S66 Uniform Combined State Law Examination
    2019-12-23

View on SEC IAPD

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