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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 2024-02-14
AR RA APPROVED 2024-02-03
  • TX RA
    APPROVED
    Since 2024-02-14
  • AR RA
    APPROVED
    Since 2024-02-03

Branch Locations

2200 N Rodney Parham Rd, Little Rock, AR 72212 • United States

One Bryant Park, New York, NY 10036 • 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, Pierce, Fenner & Smith Incorporated Little Rock AR 05/2023 Present
Unemployed Little Rock AR 02/2023 05/2023
Elementary Teacher Little Rock AR 08/2018 02/2023
Self Employed Little Rock AR 08/2017 08/2018
Gideon Math And Reading Little Rock AR 08/2013 08/2017
University Of Central Arkansas Conway AR 06/2017 12/2019
Hounds Lounge Pet Resort And Spa Little Rock AR 07/2022 08/2022
  • 05/2023 → Present
    Little Rock, AR
  • 02/2023 → 05/2023
    Unemployed
    Little Rock, AR
  • 08/2018 → 02/2023
    Elementary Teacher
    Little Rock, AR
  • 08/2017 → 08/2018
    Self Employed
    Little Rock, AR
  • 08/2013 → 08/2017
    Gideon Math And Reading
    Little Rock, AR
  • 06/2017 → 12/2019
    University Of Central Arkansas
    Conway, AR
  • 07/2022 → 08/2022
    Hounds Lounge Pet Resort And Spa
    Little Rock, AR
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-02-02
  • S66 Uniform Combined State Law Examination
    2024-02-02

View on SEC IAPD

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