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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 2026-02-13
CO RA APPROVED 2024-11-14
  • TX RA
    APPROVED
    Since 2026-02-13
  • CO RA
    APPROVED
    Since 2024-11-14

Branch Locations

6400 S Fiddlers Green Cir, Greenwood Village, CO 80111 • 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
Thrivent Investment Management Inc Minneapolis MN 10/2023 10/2024
Firstbank Holding Co Denver CO 06/2023 07/2023
Jefferson County Golden CO 01/2023 05/2023
Regis University Denver CO 09/2022 12/2023
Trace3 Denver CO 05/2022 08/2022
Regis University Denver CO 01/2022 04/2022
Regis University Denver CO 08/2021 12/2021
Firstbank Holding Co Denver CO 01/2021 08/2021
Firstbank Holding Co Denver CO 08/2020 12/2020
Eastern Washington University Cheney WA 09/2014 06/2020
Thrivent Financial Appleton WI 01/2024 09/2024
Thrivent Financial Appleton WI 09/2024 10/2024
Merrill Lynch, Pierce, Fenner & Smith Incorporated Greenwood Village CO 10/2024 Present
Bank Of America, N.A. Greenwood Village CO 01/2025 Present
  • 10/2023 → 10/2024
    Minneapolis, MN
  • 06/2023 → 07/2023
    Firstbank Holding Co
    Denver, CO
  • 01/2023 → 05/2023
    Jefferson County
    Golden, CO
  • 09/2022 → 12/2023
    Regis University
    Denver, CO
  • 05/2022 → 08/2022
    Trace3
    Denver, CO
  • 01/2022 → 04/2022
    Regis University
    Denver, CO
  • 08/2021 → 12/2021
    Regis University
    Denver, CO
  • 01/2021 → 08/2021
    Firstbank Holding Co
    Denver, CO
  • 08/2020 → 12/2020
    Firstbank Holding Co
    Denver, CO
  • 09/2014 → 06/2020
    Eastern Washington University
    Cheney, WA
  • 01/2024 → 09/2024
    Thrivent Financial
    Appleton, WI
  • 09/2024 → 10/2024
    Thrivent Financial
    Appleton, WI
  • 10/2024 → Present
    Greenwood Village, CO
  • 01/2025 → Present
    Bank Of America, N.A.
    Greenwood Village, CO
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-04-16
  • S66 Uniform Combined State Law Examination
    2024-04-16
Other Names
  • Mouhammad Rachid Ouedraogo

View on SEC IAPD

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