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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 2025-02-03
CT RA APPROVED 2025-01-14
  • TX RA
    APPROVED_RES
    Since 2025-02-03
  • CT RA
    APPROVED
    Since 2025-01-14

Branch Locations

2 Pine St, New Canaan, CT 06840 • United States

Disclosures

1 disclosure category 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 No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Stamford CT 10/2022 Present
New Canaan Ymca New Canaan CT 08/2015 10/2022
Darien Ymca Darien CT 08/2015 09/2022
Lapham Senior Center New Canaan CT 06/2017 09/2022
G Strong Fitness Norwalk CT 05/2016 08/2022
  • 10/2022 → Present
    Stamford, CT
  • 08/2015 → 10/2022
    New Canaan Ymca
    New Canaan, CT
  • 08/2015 → 09/2022
    Darien Ymca
    Darien, CT
  • 06/2017 → 09/2022
    Lapham Senior Center
    New Canaan, CT
  • 05/2016 → 08/2022
    G Strong Fitness
    Norwalk, CT
Other Businesses

Name of the other businessJ C Memorial Scholarship Trust Fund (irrevocable)Whether the business is investment-relatedNot investment related. I am the Trustee. My FAs help me manage the investments in the fund.Address of the other business: Norwalk, CT 06854Nature of the other businessThis is a Trust Fund for my children's educationYour positionTrusteeTitle, or relationship with the other businessTrusteeStart date of your relationship05/05/2019Approximate number of hours/month you devote to the other business1 -2 hours month Number of hours you devote to the other business during securities trading hours1 hour a monthBriefly describe your duties relating to the other businessAs trustee, I take distributions from the trust to cover college expenses for the beneficiaries. The trust will cover tuition for 2 children in college. I*3129266 Entity Type: N/A Name of OBA: GINGER CORBETT TTEE PAUL J BAMATTER TTEE U/A DTD 05/05/2019 Address: norwalk, Connecticut Investment Related: No Position, Title, Association: Trustee Employee Start Date: 11/05/2025 Number of Hours: 1, Monthly Number of Hours during trading: 0, Monthly Duties: Trustee for Child/Grandchild

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-01-13
  • S66 Uniform Combined State Law Examination
    2025-01-13
Other Names
  • Ginger Johanna Paz
  • Ginger Johanna Corbett

View on SEC IAPD

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