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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
KS RA APPROVED 2025-10-29
TX RA APPROVED 2025-02-25
MO RA APPROVED 2024-12-04
  • KS RA
    APPROVED
    Since 2025-10-29
  • TX RA
    APPROVED
    Since 2025-02-25
  • MO RA
    APPROVED
    Since 2024-12-04

Branch Locations

3401 College Blvd, Leawood, KS 66211 • 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 Kansas City MO 06/2024 Present
The Jayhawk Cafe Lawrence KS 04/2023 05/2024
Textron Aviation Wichita KS 05/2023 08/2023
The Ldf Companies Wichita KS 05/2022 08/2022
The Wichita Country Club Wichita KS 05/2018 08/2018
University Of Kansas Lawrence KS 08/2022 04/2023
Kapaun Mt Carmel High School Wichita KS 08/2018 05/2020
Kapaun Mt Carmel High School Wichita KS 06/2014 05/2018
University Of Kansas Lawrence KS 08/2020 05/2024
University Of Kansas, Lawrence KS 05/2020 05/2022
Bank Of America, N.A. Kansas City MO 07/2024 Present
  • 06/2024 → Present
    Kansas City, MO
  • 04/2023 → 05/2024
    The Jayhawk Cafe
    Lawrence, KS
  • 05/2023 → 08/2023
    Textron Aviation
    Wichita, KS
  • 05/2022 → 08/2022
    The Ldf Companies
    Wichita, KS
  • 05/2018 → 08/2018
    The Wichita Country Club
    Wichita, KS
  • 08/2022 → 04/2023
    University Of Kansas
    Lawrence, KS
  • 08/2018 → 05/2020
    Kapaun Mt Carmel High School
    Wichita, KS
  • 06/2014 → 05/2018
    Kapaun Mt Carmel High School
    Wichita, KS
  • 08/2020 → 05/2024
    University Of Kansas
    Lawrence, KS
  • 05/2020 → 05/2022
    University Of Kansas,
    Lawrence, KS
  • 07/2024 → Present
    Bank Of America, N.A.
    Kansas City, MO
Other Businesses

I* 1960348 The Babacomari Ranch LLLP Not investment related Address: Elgin, AZ 85611 Type of Business: Cattle Ranch Role: Limited partner My family's ranch Start Date: 04/2002 Hours Worked: 0-1 Hours Worked during Trading hours: 0 Duties: I vote on recommendations from the managing partners and attend an annual meeting about any progress or updates regarding the business.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-12-03
  • S66 Uniform Combined State Law Examination
    2024-12-03

View on SEC IAPD

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