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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 2016-03-22
FL RA APPROVED 2016-02-19
  • TX RA
    APPROVED
    Since 2016-03-22
  • FL RA
    APPROVED
    Since 2016-02-19

Branch Locations

401 E Las Olas Blvd, Fort Lauderdale, FL 33301 • 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 Ft Lauderdale FL 05/1993 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Ft Lauderdale FL 06/2009 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-02-12
S63 Uniform Securities Agent State Law Examination 2014-03-11
  • S66 Uniform Combined State Law Examination
    2016-02-12
  • S63 Uniform Securities Agent State Law Examination
    2014-03-11
Other Names
  • Melanie Ruth Dowdy
  • Melanie Ruth Dowdy
  • Melanie Ruth Miranda

View on SEC IAPD

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