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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_RES | 2012-11-19 |
| CA | RA | APPROVED | 2012-03-12 |
Branch Locations
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Diego | CA | 03/2012 | Present |
| Bank Of America, N.A. | San Diego | CA | 08/2012 | Present |
I*67446 For profit or not for profit: For-Profit Organization Name of outside business organization: San Diego home Renovation Investment related: N Address of business: Chula Vista, California 91914 Nature of business: LLC, Position, title, association: Owner, Start date of relationship: 10/9/2013 Number of hours devoted: 3 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: It's a LLC for the single porpouse to hold personal real estate assets.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-11-24 |
| S63 | Uniform Securities Agent State Law Examination | 1999-09-07 |
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