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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 |
|---|---|---|---|
| NJ | RA | APPROVED | 2025-01-27 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Santander Bank Na | Brooklyn | NY | 01/2018 | 08/2018 |
| Santander Securities Llc | Brooklyn | NY | 01/2018 | 08/2018 |
| Hart Agency | New York | NY | 05/2017 | 12/2017 |
| Sunshine Realty Management | New York | NY | 06/2016 | 09/2016 |
| Baruch College/Cuny | New York | NY | 01/2015 | 05/2017 |
| Maximus (Randstand) | New York | NY | 10/2017 | 12/2017 |
| Jpmorgan Chase Bank, N.A. | New York | NY | 08/2018 | 01/2020 |
| J.P. Morgan Securities Llc | New York | NY | 08/2018 | 01/2020 |
| Citigroup | New York | NY | 01/2020 | 06/2024 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Pennington | NJ | 06/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-09-04 |
| S63 | Uniform Securities Agent State Law Examination | 2018-03-20 |
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