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Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691
$1.78T regulatory AUM 16,844 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2011-08-26 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Houston | TX | 08/2011 | Present |
| Bank Of America, N.A. | Houston | TX | 02/2012 | Present |
(1)INDEPENDENT INSURANCE AGENT. PRIVATE CLIENT SERVICES A DIVISION OF STERLING BANK LIFE,HEALTH,DISABILITY 1. NON-VARIABLE INSURANCE / LIFE, HEALTH, DISABILITY / 5% OF THE TIME / 05/29/2009 2.05/29/2009-PRIVATE CLIENT SERVICES A DIVISION OFSTERLING BANK -DBA ONLY 3.05/29/2009-NON-VARIABLE INSURANCE-LIFE, HEALTH, DISABILITY. 4. 05/09/2011 -DBA ONLY, PRIVATE CLIENT SERVICES A DIVISION OF COMERICA BANK. 5. 04/01/2008 - VP OF HOME OWNERS ASSOCIATION, REQUIRES 4 HOURS PER WEEK, NO TIME DURING TRADING HOURS. I*53398 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: NEW ENGLAND FINANCIAL INVESTMENT RELATED: N ADDRESS OF BUSINESS: HOUSTON, TEXAS 77056 NATURE OF BUSINESS: CORPORATION, POSITION, TITLE, ASSOCIATION: PREVIOUS EMPLOYEE START DATE OF RELATIONSHIP: 02/15/1999 NUMBER OF HOURS DEVOTED: 0 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: I WAS A CAREER INSURACNE AGENT WITH NEF FROM 2/1999 UNTIL 5/2004. I CONTINUE TO RECEIVE RESIDUAL COMMISSIONS FROM INSURANCE SOLD UNDER MY CAREER AGENT CONTRACT.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-02-17 |
| S63 | Uniform Securities Agent State Law Examination | 1999-08-18 |
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