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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 2024-11-12
AL RA APPROVED 2024-09-26
  • TX RA
    APPROVED
    Since 2024-11-12
  • AL RA
    APPROVED
    Since 2024-09-26

Branch Locations

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

4725 Whitesburg Dr Se, Huntsville, AL 35802 • 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 Huntsville AL 06/2024 Present
Madison County Schools Huntsville AL 06/2022 05/2024
Madison City Schools Madison AL 06/2021 05/2022
Madison County Schools Huntsville AL 06/2019 05/2021
Huntsville City Schools Huntsville AL 07/2013 06/2019
University Of West Alabama Livingston AL 08/2018 06/2020
Bank Of America, N.A. Huntsville AL 08/2024 Present
  • 06/2024 → Present
    Huntsville, AL
  • 06/2022 → 05/2024
    Madison County Schools
    Huntsville, AL
  • 06/2021 → 05/2022
    Madison City Schools
    Madison, AL
  • 06/2019 → 05/2021
    Madison County Schools
    Huntsville, AL
  • 07/2013 → 06/2019
    Huntsville City Schools
    Huntsville, AL
  • 08/2018 → 06/2020
    University Of West Alabama
    Livingston, AL
  • 08/2024 → Present
    Bank Of America, N.A.
    Huntsville, AL
Other Businesses

I*1962316Entity Type, For ProfitName of OBA: Neighbors Broadcasting CompanyAddress: Huntsville,Alabama,35801Investment Related: noPosition, Title, Association: OtherEmployee Start Date: 08/23/2024No Hours: 3 weeklyNo Hours during trading:0Duties: Acting as the color commentator for Randolph High School games on Friday nights in the fall. Paid $100 per game. Hours of activity will be 6:30 PM to 9:30 PM on Friday nights. Will be limited to only football season. I*: 2175398Entity Type: CharitableName of OBA: Huntsville Quarterback ClubAddress: Huntsville, AL 35204Investment Related: NoPosition, Title, Association: Board member Employee Start Date: 02/12/2025Number of Hours: 3 hrs mthlyNumber of Hours during trading: 1 hr mthlyDuties: Board Member to help with managing the social media page for the Club and helping attract new members I*2653279, Entity Type Not for Profit, Name of OBA: PALS - Huntsville Address: HuntsvilleAlabama35804 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 08/13/2025No Hours: 1 monthly No Hours during trading: 1 monthly Duties: Help raise awareness about the charities goals.Charity that raises funds for local athletic programs.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-09-25
  • S66 Uniform Combined State Law Examination
    2024-09-25

View on SEC IAPD

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