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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2021-04-19 |
| TX | RA | APPROVED | 2008-02-05 |
| CT | RA | APPROVED | 2006-11-29 |
Branch Locations
360 Hamilton Ave, White Plains, NY 10601 • United States
Ridgefield, CT • 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 | White Plains | NY | 05/1985 | Present |
| Bank Of America,N.A. | White Plains | NY | 06/2011 | Present |
I*3095285 Entity Type: For Profit Name of OBA:PRT TC LLC Address:cocoa Beach Florida Investment Related:No Position, Title, Association:Officer Start Date:10/28/2025 No Hours: 1 Weekly No Hours during trading:1 Weekly Duties:commercial property None
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-11-28 |
| S63 | Uniform Securities Agent State Law Examination | 1987-10-05 |
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