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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
OH RA APPROVED 2016-01-21
TX RA APPROVED_RES 2012-11-19
MI RA APPROVED 2012-05-08
  • OH RA
    APPROVED
    Since 2016-01-21
  • TX RA
    APPROVED_RES
    Since 2012-11-19
  • MI RA
    APPROVED
    Since 2012-05-08

Branch Locations

777 E Eisenhower Pkwy, Ann Arbor, MI 48108 • United States

39577 Woodward Ave Pbig - Troy, Bloomfield Hills, MI 48304 • United States

Clarkston, MI • United States

39577 Woodward Ave, Bloomfield Hills, MI 48304 • 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 No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Troy MI 03/2012 Present
Bank Of America N.A. Troy MI 12/2012 Present
Previous Registrations
  • 2010-08-19 → 2012-03-22
    Birmingham, MI
  • 2009-08-05 → 2010-08-31
    Chase Investment Services Corp.
    Ortonville, MI
  • 2007-11-15 → 2009-07-07
    Rochester, MI
    Birmingham, MI
  • 2002-11-22 → 2003-12-31
    Ferris, Baker Watts, Llc
    Auburn Hills, MI
    Auburn Hills, MI
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-11-27
S63 Uniform Securities Agent State Law Examination 1985-10-01
  • S65 Uniform Investment Adviser Law Examination
    2007-11-27
  • S63 Uniform Securities Agent State Law Examination
    1985-10-01
Other Names
  • Noreen Ann Flynn
  • Noreen Ann Flynn
  • Noreen Flynn Mckillop

View on SEC IAPD

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