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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 2013-10-15
NJ RA APPROVED 2013-07-24
  • TX RA
    APPROVED
    Since 2013-10-15
  • NJ RA
    APPROVED
    Since 2013-07-24

Branch Locations

1100-1800 American Blvd Central Business Review Unit, Pennington, NJ 08534 • United States

Belle Mead, NJ • 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 Pennington NJ 06/1991 Present
Other Businesses

I*946268 Entity Type For Profit Name of outside business organization: Bentley's Fine Jewelers Investment related: No Address of business: Hillsborough, NJ 08844 Position, title, association: Employee Start date of relationship: 8/20/2022 Number of hours devoted: 5 hrs Weekly Number of hours devoted during trading hours: 0 Duties: Jewelry Store I*3279267 Entity Type: Name of OBA: Bulldog Club Of New Jersey Address: Bethlehem, NJ 18020 Investment Related: No Position, Title, Association: Officer Employee Start Date: 12/04/2025 Number of Hours: 5, Monthly Number of Hours during trading: 0 Duties: To preserve the bulldog breed. Coordinate specialty shows and educational seminars

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-07-11
  • S66 Uniform Combined State Law Examination
    2013-07-11
Other Names
  • Lauren Figlyar
  • Lauren Pastor
  • Lauren Francene Pastor
  • Lauren Pastor
  • Lauren Figlyar
  • Lauren Quatrocchi
  • Lauren Francene Quatrocchi

View on SEC IAPD

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