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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 |
|---|---|---|---|
| NV | RA | APPROVED | 2024-03-04 |
| TX | RA | APPROVED_RES | 2023-08-09 |
| CA | RA | APPROVED | 1999-10-18 |
Branch Locations
555 California St, San Francisco, CA 94104 • United States
900 Tahoe Blvd, Incline Village, NV 89451 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Berkeley | CA | 09/1998 | Present |
| Bank Of America, N.A. | San Francisco | CA | 07/2011 | Present |
I*1809257, Entity Type, Name of OBA:Rental Property 1 Address:San Francisco, CA 94109 Investment Related: No Position, Title, Association:Co-owner with other family members Employee Start Date:6/1/2024 No Hours: No Hours during trading: Duties:
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-08-30 |
| S63 | Uniform Securities Agent State Law Examination | 1999-07-30 |
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