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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 2024-10-03
PA RA APPROVED 2024-09-06
  • TX RA
    APPROVED
    Since 2024-10-03
  • PA RA
    APPROVED
    Since 2024-09-06

Branch Locations

One Bryant Park, New York, NY 10036 • UNITED STATES

475 Rolling Ridge Dr, State College, PA 16801 • 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 State College PA 09/2023 Present
Cnb Financial Corporation Clearfield PA 05/2022 09/2023
Cnb Financial Corporation Clearfield PA 06/2019 05/2022
Full-Time Student-Curwensville High School And Gannon University Curwensville/Erie PA 01/2013 05/2022
  • 09/2023 → Present
    State College, PA
  • 05/2022 → 09/2023
    Cnb Financial Corporation
    Clearfield, PA
  • 06/2019 → 05/2022
    Cnb Financial Corporation
    Clearfield, PA
  • 01/2013 → 05/2022
    Full-Time Student-Curwensville High School And Gannon University
    Curwensville/Erie, PA
Other Businesses

If Other Business, is something you continue to do, Name of the other business- Participate with brother in a joint eBay account (eBay Inc)Whether the business is investment-related- Business is not investment relatedAddress of the other business- Grampian PA 16838Nature of the other business- Selling used clothing and sports memorabilia Your position- SellerTitle, or relationship with the other business- Joint account with brotherStart date of your relationship- Began buying/selling in May 2022Approximate number of hours/month you devote to the other business- 4 hours/weekNumber of hours you devote to the other business during securities trading hours- 0 hoursBriefly describe your duties relating to the other business- My brother and I buy/sell sports memorabilia and gently used clothing using a joint eBay account I* 1507262 For profit or not for profit: Name of outside business organization: eBay Inc Investment related: no Address of business: San Jose, CA Nature of business: Corporation Position, title, association: Other Start date of relationship: 09/30/2023 Number of hours devoted: 0 monthly Number of hours devoted during trading hours: 0 Duties: My brother and I sell items we no longer use on eBay on occasion.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-09-05
  • S66 Uniform Combined State Law Examination
    2024-09-05

View on SEC IAPD

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