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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 | 2025-05-14 |
| CA | RA | APPROVED | 2025-05-01 |
Branch Locations
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 |
|---|---|---|---|---|
| Santa Barbara City College | Santa Barbara | CA | 01/2007 | 05/2023 |
| Ergomotion Inc | Santa Barbara | CA | 03/2012 | 04/2023 |
| Stifel | Santa Barbara | CA | 07/2023 | 04/2025 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Santa Barbara | CA | 05/2025 | Present |
| Bank Of America, N.A. | Santa Barbara | CA | 10/2025 | Present |
I*: 2545263Entity Type: Rental Property Name of OBA: Rental Property 1Address: Santa Barbara, CA 93103Investment Related: NoPosition, Title, Association: Sole ownerEmployee Start Date: 09/01/2025Number of Hours: 12 hrs annuallyNumber of Hours during trading: 0Duties: Sole owner of rental property
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-09-27 |
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