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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 2026-01-06
WI RA APPROVED 2025-11-25
  • TX RA
    APPROVED
    Since 2026-01-06
  • WI RA
    APPROVED
    Since 2025-11-25

Branch Locations

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

2 E Mifflin St, Madison, WI 53703 • 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 Madison WI 07/2024 Present
Newtonx New York NY 04/2022 06/2023
Johnny Delmonico's Madison WI 11/2023 07/2024
Al's Place San Francisco CA 08/2018 03/2020
University Of California, Berkeley Berkeley CA 08/2019 12/2021
Michael Mina San Francisco CA 01/2015 02/2017
Berkeley City College Berkeley CA 02/2017 08/2019
Unemployed Verona WI 01/2022 03/2022
Unemployed Verona WI 07/2023 10/2023
Mg-350 Mission San Francisco, CA 06/2018 07/2018
  • 07/2024 → Present
    Madison, WI
  • 04/2022 → 06/2023
    Newtonx
    New York, NY
  • 11/2023 → 07/2024
    Johnny Delmonico's
    Madison, WI
  • 08/2018 → 03/2020
    Al's Place
    San Francisco, CA
  • 08/2019 → 12/2021
    University Of California, Berkeley
    Berkeley, CA
  • 01/2015 → 02/2017
    Michael Mina
    San Francisco, CA
  • 02/2017 → 08/2019
    Berkeley City College
    Berkeley, CA
  • 01/2022 → 03/2022
    Unemployed
    Verona, WI
  • 07/2023 → 10/2023
    Unemployed
    Verona, WI
  • 06/2018 → 07/2018
    Mg-350 Mission
    San Francisco,, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-11-25
  • S66 Uniform Combined State Law Examination
    2025-11-25
Other Names
  • Kseniya Romanenko

View on SEC IAPD

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