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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NEW YORK, NY · CRD 7691 · IAPD ↗ · 800-637-7455

$1781.57BRegulatory AUM
25721Advisory reps
32960Employees
16844Clients
n/aPlanning clients
0Private funds
49States
464Disclosures
wealthSegment
ApprovedSEC status

Filing changes

55
August 2026 — MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED's Item 11 disclosure-reporting entries rose by 3 (476 -> 479).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
June 2026 — MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED's Item 11 disclosure-reporting entries rose by 6 (470 -> 476).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
April 2026 — MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED shrank from 25753 to 25721 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
55
April 2026 — MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED added office(s): 3779 -> 3910 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
55
April 2025 — MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED's Item 11 disclosure-reporting entries rose by 4 (507 -> 511).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
April 2025 — MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED shrank from 26251 to 25753 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
55
April 2025 — MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED added office(s): 3542 -> 3779 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
55
February 2025 — MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED's Item 11 disclosure-reporting entries rose by 3 (505 -> 508).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
January 2025 — MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED's Item 11 disclosure-reporting entries rose by 4 (501 -> 505).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
December 2024 — MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED's Item 11 disclosure-reporting entries rose by 3 (498 -> 501).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
November 2024 — MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED's Item 11 disclosure-reporting entries rose by 5 (493 -> 498).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
October 2024 — MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED's Item 11 disclosure-reporting entries rose by 13 (480 -> 493).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
July 2024 — MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED's Item 11 disclosure-reporting entries rose by 7 (484 -> 491).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
June 2024 — MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED's Item 11 disclosure-reporting entries rose by 3 (481 -> 484).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
April 2024 — MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED added office(s): 3372 -> 3542 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
85
April 2024 — MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED grew from 25573 to 26251 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
March 2024 — MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED's Item 11 disclosure-reporting entries rose by 4 (478 -> 482).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.