MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
|
|
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
(CRD# 7691)
is an SEC-Registered Investment Advisor (RIA), headquartered in
New York, NY.
The SEC approved the firm to operate as an RIA in
Dec 1978.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$797.3 Billion,
with discretion over
31%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
1%
.
|
|
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
also reported in
Mar 2019
-
41217
employees,
with
25576
performing advisory functions.
-
A total of 3133 office locations.
-
Registration with one or more foreign financial regulatory authorities.
-
NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
|
|
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED has one or more disclosure events currently on file with the SEC.
|
|
|
|
|
|
|
|
|
|
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED has Notice Filings with the following State Securities Authorities:
AK-Jun 1993, AL-Dec 2000, AR-Jan 1989, CA-Jul 1997, CO-Jan 1999
, CT-Aug 1997, DC-Nov 1993, DE-Aug 2003, FL-Aug 1982, GA-Jan 2001
, HI-Jun 1989, IA-Jan 1999, ID-Jul 1991, IL-Apr 1991, IN-Nov 2000
, KS-Dec 1997, KY-Apr 2001, LA-Oct 2001, MD-Nov 1990, ME-Jan 2001
, MI-Jan 2001, MN-Jan 1999, MO-Apr 2001, MS-Apr 2001, MT-Dec 1997
, NC-Oct 2000, ND-Jan 2001, NE-Jan 1998, NH-Jan 2001, NJ-Aug 1995
, NM-Nov 1987, NV-Nov 1990, NY-Jan 2001, OH-May 1999, OK-Jan 1998
, PA-Jun 2010, RI-Jan 1993, SC-Nov 1992, SD-Oct 1980, TN-Oct 2001
, TX-Jan 1956, UT-Apr 1993, VA-Aug 1997, VI-Apr 2005, VT-Jan 2001
, WA-Jan 1990, WI-Feb 1995, WV-Jan 1998, WY-Jul 2017
|
|
|
|
Disclaimer:
The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
that we are aware of many instances where
RIAs provided erroneous data to the
SEC. Feel free to contact
FindingFraud.org with questions or concerns.
|
|
|
|
|
|
|
|
