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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 2025-12-04
  • TX RA
    APPROVED
    Since 2025-12-04

Branch Locations

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

2800 Post Oak Blvd, Houston, TX 77056 • 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
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
  • 10/2021 → 11/2024
    Tiaa
    Charlotte, NC
  • 12/2023 → 07/2025
    Tiaa-Cref Individual & Institutional Services, Llc
    Charlotte, NC
  • 06/2019 → 10/2021
    Signature Consultants
    Charlotte, NC
  • 11/2017 → 05/2019
    Kipp East Community Primary School
    New Orleans, LA
  • 09/2017 → 10/2017
    Carolina Legal Staffing Llc
    Charlotte, NC
  • 11/2017 → 12/2017
    Steve Madden Ltd
    New Orleans, LA
  • 11/2017 → 07/2019
    Genesco Inc.
    New Orleans, LA
  • 12/2016 → 01/2017
    K1 Speed Inc.
    Concord, NC
  • 08/2012 → 12/2016
    University Of North Carolina At Charlotte
    Charlotte, NC
  • 01/2017 → 02/2017
    Red Ventures
    Charlotte, NC
  • 02/2017 → 11/2017
    Pls Logistics Company
    Charlotte, NC
  • 07/2025 → Present
    Houston, TX
  • 04/2024 → 06/2024
    Total Quality Logistics
    Charlotte, NC
  • 01/2017 → 02/2017
    Rbus Inc., A Red Ventures Llc Company
    Charlotte, NC
  • 01/2026 → Present
    Bank Of America, N.A.
    Houston, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-12-03
  • S66 Uniform Combined State Law Examination
    2025-12-03
Other Names
  • Prince Mayela
  • Prince Mampuya Mayela

View on SEC IAPD

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