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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
LA RA APPROVED 2015-12-09
TX RA APPROVED_RES 2004-05-27
  • LA RA
    APPROVED
    Since 2015-12-09
  • TX RA
    APPROVED_RES
    Since 2004-05-27

Branch Locations

445 North Blvd, Baton Rouge, LA 70802 • 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 Baton Rouge LA 02/2002 Present
Bank Of America, N.A. Baton Rouge LA 06/2011 Present
  • 02/2002 → Present
    Merrill Lynch
    Baton Rouge, LA
  • 06/2011 → Present
    Bank Of America, N.A.
    Baton Rouge, LA
Other Businesses

I*51019For profit or not for profit: For-Profit OrganizationName of outside business organization: Hunting HoldingsInvestment related: NAddress of business:baton rouge, Louisiana 70806Nature of business: LLC,Position, title, association: Owner, Start date of relationship: 2/3/2012Number of hours devoted: 1 hour(s) AnnuallyNumber of hours devoted during trading hours: 0Duties: HUNTING CAMP WITH FATHER IN LAW I*4729277, Entity Type: , Name of OBA: Catholic High School, Address: Baton Rouge, Louisiana, 70806, Investment Related: N, Position, Title, Association:fundraising committee , Employee Start Date: 06/25/2026, No Hours: 10 Yearly, No Hours during Trading: 0 Yearly, Duties: Looking to see if I can be on the CHS class of 1996 fundraising committee for a memorial scholarship for our grade. Duties will be to call my class of 1996 colleagues to ask for donations for the Class of 1996 Memorial Scholarship fund. Education

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-07-30
  • S66 Uniform Combined State Law Examination
    2001-07-30
Other Names
  • Andrew Kenneth Scholl

View on SEC IAPD

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