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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 2025-05-14
IL RA APPROVED 2025-05-07
  • TX RA
    APPROVED
    Since 2025-05-14
  • IL RA
    APPROVED
    Since 2025-05-07

Branch Locations

110 N Wacker Dr, Chicago, IL 60606 • United States

One Bryant Park, New York, NY 10036 • 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 Chicago IL 07/2024 Present
Nasdaq, Inc. Chicago IL 11/2021 07/2024
Franklin's Public House Palos Heights IL 05/2021 12/2021
Prep Baseball Report Mccook IL 05/2020 08/2020
Kane County Cougars Geneva IL 05/2018 08/2018
Chicago White Sox Chicago IL 05/2018 08/2018
St. Louis Cardinals St. Louis MO 05/2019 08/2019
University Of Missouri Columbia MO 08/2017 05/2021
Marist High School Chicago IL 01/2014 05/2017
Maher And Brannigan Orland Park IL 06/2017 11/2024
Compass Group Usa Chicago IL 05/2018 09/2018
Bo Jacksons Elite Sports Llc Lockport IL 05/2017 11/2021
Albertsons Companies, Inc Orland Park IL 03/2020 06/2020
  • 07/2024 → Present
    Chicago, IL
  • 11/2021 → 07/2024
    Nasdaq, Inc.
    Chicago, IL
  • 05/2021 → 12/2021
    Franklin's Public House
    Palos Heights, IL
  • 05/2020 → 08/2020
    Prep Baseball Report
    Mccook, IL
  • 05/2018 → 08/2018
    Kane County Cougars
    Geneva, IL
  • 05/2018 → 08/2018
    Chicago White Sox
    Chicago, IL
  • 05/2019 → 08/2019
    St. Louis Cardinals
    St. Louis, MO
  • 08/2017 → 05/2021
    University Of Missouri
    Columbia, MO
  • 01/2014 → 05/2017
    Marist High School
    Chicago, IL
  • 06/2017 → 11/2024
    Maher And Brannigan
    Orland Park, IL
  • 05/2018 → 09/2018
    Compass Group Usa
    Chicago, IL
  • 05/2017 → 11/2021
    Bo Jacksons Elite Sports Llc
    Lockport, IL
  • 03/2020 → 06/2020
    Albertsons Companies, Inc
    Orland Park, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-05-06
  • S66 Uniform Combined State Law Examination
    2025-05-06

View on SEC IAPD

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