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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-09-11 |
| CA | RA | APPROVED | 2024-08-06 |
Branch Locations
50 California St, San Francisco, CA 94111 • United States
944 Stockton St, San Francisco, CA 94108 • United States
33 New Montgomery St, San Francisco, CA 94105 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.P. Morgan Securities Llc | San Francisco | CA | 03/2023 | 05/2024 |
| Jpmorgan Chase Bank, N.A. | San Francisco | CA | 10/2000 | 05/2024 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Francisco | CA | 05/2024 | Present |
| Bank Of America, N.A. | San Francisco | CA | 08/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-08-02 |
| S63 | Uniform Securities Agent State Law Examination | 2023-05-18 |
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