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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 | 2025-12-04 |
Branch Locations
One Bryant Park, New York, NY 10036 • UNITED STATES
2800 Post Oak Blvd, Houston, TX 77056 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Tiaa | Charlotte | NC | 10/2021 | 11/2024 |
| Tiaa-Cref Individual & Institutional Services, Llc | Charlotte | NC | 12/2023 | 07/2025 |
| Signature Consultants | Charlotte | NC | 06/2019 | 10/2021 |
| Kipp East Community Primary School | New Orleans | LA | 11/2017 | 05/2019 |
| Carolina Legal Staffing Llc | Charlotte | NC | 09/2017 | 10/2017 |
| Steve Madden Ltd | New Orleans | LA | 11/2017 | 12/2017 |
| Genesco Inc. | New Orleans | LA | 11/2017 | 07/2019 |
| K1 Speed Inc. | Concord | NC | 12/2016 | 01/2017 |
| University Of North Carolina At Charlotte | Charlotte | NC | 08/2012 | 12/2016 |
| Red Ventures | Charlotte | NC | 01/2017 | 02/2017 |
| Pls Logistics Company | Charlotte | NC | 02/2017 | 11/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Houston | TX | 07/2025 | Present |
| Total Quality Logistics | Charlotte | NC | 04/2024 | 06/2024 |
| Rbus Inc., A Red Ventures Llc Company | Charlotte | NC | 01/2017 | 02/2017 |
| Bank Of America, N.A. | Houston | TX | 01/2026 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2025-12-03 |
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