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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NEW YORK, NY
800-637-7455
SEC #801-14235Total AUM
$1.8T
Employees
32,960Clients
1,838,984Firm overview
Client Breakdown by AUM
AUM previous 5 years
Smooth / Detailed
Business
Principal Address
ONE BRYANT PARK
NEW YORK
NY 10036
United States
NEW YORK
NY 10036
United States
Operating Hours
9 A.M. TO 5 P.M.
Monday - Friday
Monday - Friday
Phone
800-637-7455
Other Offices
3910
Financials
Total AUM
$1.8T
Accounts
3,253,265Discretionary
$441.3B
Accounts
713,174Non-Discretionary
$1.3T
Accounts
2,540,091
Clients
Individual Clients
1,269,968AUM
$313.5B
HNW Individual Clients
521,763AUM
$1.2T
Pension/Profit Sharing Plan Clients
17,422AUM
$58.9B
Charitable Organization Clients
6,759AUM
$43B
Insurance Company Clients
246AUM
$5.9B
Corporation or Business Clients
22,807AUM
$131.2B
Other Clients
19AUM
$1.4B
Description of Other Clients
TRIBAL NATIONS
Services
Services Offered
Advisor / Fund Manager SelectionEducationIndividual Portfolio ManagementInstitutional Portfolio ManagementOther ServicesPension Consulting
Other Services
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D
Compensation Types
Charges CommissionCharges Fixed FeeCharges Percentage AUM
Compliance
Disclosures
Court Injunction (Past 10 Years)Court Violation FindingFelony ChargeFelony ConvictionLicense Revocation/SuspensionMisdemeanor ConvictionMisdemeanor Conviction ChargeOther Regulator Cause of Denial/SuspensionOther Regulator Denial/Suspension/RevocationOther Regulator False Statement/DishonestyOther Regulator Order (Past 10 Years)Other Regulator Violation FindingPending Civil ProceedingPending Regulatory ProceedingSEC/CFTC False Statement FindingSEC/CFTC Order EntrySEC/CFTC Penalty/Cease-and-DesistSEC/CFTC Violation FindingSRO Discipline/Expulsion/SuspensionSRO Rule Violation
State Registrations
AKALARCACOCTDCDEFLGAHIIAIDILINKSKYLAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKPARISCSDTNTXUTVAVIVTWAWIWV
Affiliates
Affiliates
Reported 39 business affiliates.
Claimed Affiliates
Reported as an affiliate by 20 other businesses.