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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_RES 2024-12-03
TN RA APPROVED 2024-10-08
  • TX RA
    APPROVED_RES
    Since 2024-12-03
  • TN RA
    APPROVED
    Since 2024-10-08

Branch Locations

9375 Kingston Pike, Knoxville, TN 37922 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Knoxville TN 07/2021 Present
Salon Visage Knoxville TN 07/2017 07/2021
Plato's Closet Knoxville TN 06/2017 07/2017
Unemployed Oak Ridge TN 01/2017 06/2017
Outback Steakhouse Oak Ridge TN 01/2017 01/2017
Unemployed Oak Ridge TN 08/2016 01/2017
Roane State Community College Oak Ridge TN 08/2019 12/2021
Lipscomb University Nashville TN 07/2023 08/2024
Bank Of America, N.A. Knoxville TN 09/2024 Present
  • 07/2021 → Present
    Knoxville, TN
  • 07/2017 → 07/2021
    Salon Visage
    Knoxville, TN
  • 06/2017 → 07/2017
    Plato's Closet
    Knoxville, TN
  • 01/2017 → 06/2017
    Unemployed
    Oak Ridge, TN
  • 01/2017 → 01/2017
    Outback Steakhouse
    Oak Ridge, TN
  • 08/2016 → 01/2017
    Unemployed
    Oak Ridge, TN
  • 08/2019 → 12/2021
    Roane State Community College
    Oak Ridge, TN
  • 07/2023 → 08/2024
    Lipscomb University
    Nashville, TN
  • 09/2024 → Present
    Bank Of America, N.A.
    Knoxville, TN
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-10-07
  • S66 Uniform Combined State Law Examination
    2024-10-07
Other Names
  • Bri Hoyt

View on SEC IAPD

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