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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 2025-08-12
  • TX RA
    APPROVED
    Since 2025-08-12

Branch Locations

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
Florida Financial Advisors Dba Texas Financial Advisors Dallas TX 07/2024 02/2025
Baker St Pub & Grill The Woodlands TX 06/2022 08/2022
Unemployed The Woodlands TX 06/2014 06/2022
Unemployed Dallas TX 08/2022 07/2024
Trinity Wealth Securities, Llc Dallas TX 09/2024 02/2025
Fisher Investments Plano TX 04/2025 06/2025
Merrill Lynch, Pierce, Fenner & Smith Incorporated Houston TX 07/2025 Present
Controladora Flamingos Mexico City 06/2022 08/2022
Bank Of America, N.A. Houston TX 09/2025 Present
  • 07/2024 → 02/2025
    Florida Financial Advisors Dba Texas Financial Advisors
    Dallas, TX
  • 06/2022 → 08/2022
    Baker St Pub & Grill
    The Woodlands, TX
  • 06/2014 → 06/2022
    Unemployed
    The Woodlands, TX
  • 08/2022 → 07/2024
    Unemployed
    Dallas, TX
  • 09/2024 → 02/2025
    Trinity Wealth Securities, Llc
    Dallas, TX
  • 04/2025 → 06/2025
    Plano, TX
  • 07/2025 → Present
    Houston, TX
  • 06/2022 → 08/2022
    Controladora Flamingos
    Mexico City
  • 09/2025 → Present
    Bank Of America, N.A.
    Houston, TX
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2024-09-03
S65 Uniform Investment Adviser Law Examination 2024-06-24
  • S63 Uniform Securities Agent State Law Examination
    2024-09-03
  • S65 Uniform Investment Adviser Law Examination
    2024-06-24

View on SEC IAPD

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