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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 |
|---|---|---|---|
| KS | RA | APPROVED | 2023-11-27 |
| MO | RA | APPROVED | 2013-05-20 |
| TX | RA | APPROVED_RES | 2013-05-14 |
Branch Locations
4801 Main St, Kansas City, MO 64112 • United States
Overland Park, KS • United States
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 | Kansas City | MO | 05/2013 | Present |
| Bank Of America, N.A. | Kansas City | MO | 06/2013 | Present |
I*: 1800304 Entity Type: Rental Property Name of OBA: Rental Property 1 Address: Dallas, TX Investment Related: No Position, Title, Association: Co-owner with other family members Employee Start Date: 03/01/2024 Number of Hours: 2 hrs annually Number of Hours during trading: 0 Duties: Rental Property
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-01-16 |
| S63 | Uniform Securities Agent State Law Examination | 1992-11-25 |
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