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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
TX RA APPROVED_RES 2018-08-24
NC RA APPROVED 2018-08-09
  • TX RA
    APPROVED_RES
    Since 2018-08-24
  • NC RA
    APPROVED
    Since 2018-08-09

Branch Locations

317 Se Greenville Blvd, Greenville, NC 27858 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Greenville NC 07/2016 Present
Bank Of America, N.A. Greenville NC 07/2016 Present
Other Businesses

I*118005 For profit or not for profit: For-Profit Organization Name of outside business organization: Cappello Investment related: N Address of business: Greenville, North Carolina 27858 Nature of business: Sole Proprietorship, Position, title, association: Other, Sole Prorietor Start date of relationship: 10/3/2018 Number of hours devoted: 5 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: I will be conducting motivational speaking and rap concerts for a variety of venues, including churches, schools, and community events. I record music and will also sell music online and at concerts. I will get paid for my live appearances.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-08-06
  • S66 Uniform Combined State Law Examination
    2018-08-06
Other Names
  • Brandon Biggs

View on SEC IAPD

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