Horace H Smith

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
CT	RA	APPROVED	2025-12-22
FL	RA	APPROVED	2021-06-07
CA	RA	APPROVED	2014-04-10
TX	RA	APPROVED_RES	2014-04-10

CT RA
APPROVED

Since 2025-12-22
FL RA
APPROVED

Since 2021-06-07
CA RA
APPROVED

Since 2014-04-10
TX RA
APPROVED_RES

Since 2014-04-10

Branch Locations

Nantucket, MA • United States

Pasadena, CA • United States

West Palm Beach, FL • United States

200 S Biscayne Blvd Pbig - Florida Pwm, Miami, FL 33131 • United States

2049 Century Park E Pbig - Century City, Los Angeles, CA 90067 • United States

Disclosures

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.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Los Angeles	CA	04/2014	Present
Bank Of America, N.A.	Los Angeles	CA	04/2014	Present

04/2014 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Los Angeles, CA
04/2014 → Present

Bank Of America, N.A.

Los Angeles, CA

Previous Registrations

2001-06-18 → 2014-05-06

Deutsche Bank Securities Inc.

Los Angeles, CA

Los Angeles, CA

Los Angeles, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1993-05-21
S63	Uniform Securities Agent State Law Examination	1988-01-12

S65 Uniform Investment Adviser Law Examination

1993-05-21
S63 Uniform Securities Agent State Law Examination

1988-01-12

Other Names

Horace Hanford Smith
Halsey Smith
Horrace Hanford Smith
Halsey Smith
H Hanford Smith
Horace Hanford Smith

View on SEC IAPD