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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

dba MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · CRD 7691 · Registered Investment Adviser

Criminal disclosureRegulatory disclosureCivil/Other disclosure

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED is a Registered Investment Adviser headquartered in NEW YORK, NY. The firm reports $1,781,568,171,479 in regulatory assets under management across 3,253,265 accounts. It reports 20 Form ADV Item 11 disciplinary disclosure(s) (Criminal, Regulatory, Civil/Other).

Regulatory assets under management

Discretionary$441,302,071,156
Non-discretionary$1,340,266,100,323
Total RAUM$1,781,568,171,479
Accounts3,253,265

Disciplinary history (Form ADV Item 11)

This adviser answered "yes" to 20 Item 11 disclosure question(s):

CategoryReported
Criminal (11A / 11B)Yes
Regulatory (11C–11F)Yes
Civil / Other (11G / 11H)Yes

Item 11 captures firm-level Y/N disclosures only. For the narrative Disciplinary Reporting Pages, see the full Form ADV PDF on SEC IAPD.

About this data

Form ADV is the uniform registration form every investment adviser files with the U.S. Securities and Exchange Commission (and state regulators). Part 1A captures the firm's identity, assets under management, client base, custody arrangements, and disciplinary disclosures. This page mirrors the SEC's monthly firm-roster export with citations to the Investment Adviser Public Disclosure (IAPD) system, where the full brochure (Part 2) and disciplinary detail are available.

References

  1. U.S. Securities and Exchange Commission. Investment Adviser Public Disclosure — CRD 7691. adviserinfo.sec.gov/firm/summary/7691.
  2. SEC Form ADV firm roster (FOIA monthly export). sec.gov Form ADV data.

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