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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

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Company Details

Name:	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Jurisdiction:	New York
Legal type:	FOREIGN BUSINESS CORPORATION
Status:	Active
Date of registration:	02 Jan 1959 (67 years ago)
Entity Number:	115813
ZIP code:	10005
County:	New York
Place of Formation:	Delaware
Address:	C T CORPORATION SYSTEM, 28 LIBERTY ST., NEW YORK, NY, United States, 10005
Principal Address:	One Bryant Park, New York, NY, United States, 10036

Agent

Name	Role	Address
C T CORPORATION SYSTEM	Agent	28 LIBERTY ST., NEW YORK, NY, 10005

DOS Process Agent

Name	Role	Address
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	DOS Process Agent	C T CORPORATION SYSTEM, 28 LIBERTY ST., NEW YORK, NY, United States, 10005

Chief Executive Officer

Name	Role	Address
ERIC SCHIMPF	Chief Executive Officer	ONE BRYANT PARK, NEW YORK, NY, United States, 10036

Unique Entity ID

CAGE Code:

71GF5

UEI Expiration Date:

2015-03-04

Business Information

Division Name:

FINANCIAL INSTITUTIONS GROUP

Activation Date:

2014-03-04

Initial Registration Date:

2014-01-02

Central Index Key

CIK number:

0000728612

Phone:

800-637-7455

EDGAR Link:

View company profile on EDGAR website

Latest Filings

Form type:

File number:

811-21076

Filing date:

2025-07-07

File:

View File

Form type:

File number:

811-10377

Filing date:

2025-06-13

File:

View File

Form type:

File number:

811-21076

Filing date:

2025-06-13

File:

View File

Form type:

File number:

811-21077

Filing date:

2025-06-13

File:

View File

Form type:

13F-NT

File number:

028-00962

Filing date:

2025-05-15

File:

View File

Commercial and government entity program

CAGE number:

71GF5

Status:

Active

Type:

Non-Manufacturer

CAGE Update Date:

2024-03-02

Contact Information

POC:

AARON PACKLES

History

Start date	End date	Type	Value
2025-01-09	2025-01-09	Address	ONE BRYANT PARK, NEW YORK, NY, 10036, USA (Type of address: Chief Executive Officer)
2025-01-09	2025-01-09	Address	401 N TRYON ST., NC1-021-06-01, CHARLOTTE, NC, 28255, USA (Type of address: Chief Executive Officer)
2021-01-06	2025-01-09	Address	401 N TRYON ST., NC1-021-06-01, CHARLOTTE, NC, 28255, USA (Type of address: Chief Executive Officer)
2019-01-28	2025-01-09	Address	28 LIBERTY ST., NEW YORK, NY, 10005, USA (Type of address: Service of Process)
2019-01-28	2025-01-09	Address	28 LIBERTY ST., NEW YORK, NY, 10005, USA (Type of address: Registered Agent)

Filings

Filing Number	Date Filed	Type	Effective Date
250109003954	2025-01-09	BIENNIAL STATEMENT	2025-01-09
230103000999	2023-01-03	BIENNIAL STATEMENT	2023-01-01
210106060052	2021-01-06	BIENNIAL STATEMENT	2021-01-01
SR-1569	2019-01-28	CERTIFICATE OF CHANGE (BY AGENT)	2019-01-28
SR-1568	2019-01-28	CERTIFICATE OF CHANGE (BY AGENT)	2019-01-28

Trademarks Section

Serial Number:

73136104

Mark:

OPTIONS ALERT

Status:

CANCELLED - SECTION 8

Mark Type:

TRADEMARK

Application Filing Date:

1977-08-01

Mark Drawing Type:

Typeset: Word(s)/letter(s)/number(s)

Mark Literal Elements:

OPTIONS ALERT

USPTO Link:

View Trademark Status and Document Retrieval (TSDR)

Goods And Services

For:

MAGAZINE DIRECTED TO THE SECURITIES FIELD

First Use:

1977-07-01

International Classes:

016 - Primary Class

Class Status:

Sec. 8 – Entire Registration

Serial Number:

73100500

Mark:

PORTFOLIO DOUBLECHECK SERVICE

Status:

EXPIRED

Mark Type:

SERVICE MARK

Application Filing Date:

1976-09-20

Mark Drawing Type:

Typeset: Word(s)/letter(s)/number(s)

Mark Literal Elements:

PORTFOLIO DOUBLECHECK SERVICE

USPTO Link:

View Trademark Status and Document Retrieval (TSDR)

Goods And Services

For:

PROVIDING ANALYSIS OF SECURITY ACCOUNTS

First Use:

1976-06-29

International Classes:

036 - Primary Class

Class Status:

Expired

Serial Number:

80994879

Mark:

BROKERPHONE

Status:

CANCELLED - SECTION 8

Mark Literal Elements:

BROKERPHONE

USPTO Link:

View Trademark Status and Document Retrieval (TSDR)

Serial Number:

78555180

Mark:

WAVE SECURITIES

Status:

ABANDONED-FAILURE TO RESPOND OR LATE RESPONSE

Mark Type:

SERVICE MARK

Application Filing Date:

2005-01-27

Mark Drawing Type:

Standard character mark

Mark Literal Elements:

WAVE SECURITIES

USPTO Link:

View Trademark Status and Document Retrieval (TSDR)

Goods And Services

For:

Providing on-line information in the field of trading equities, futures, options and other financial securities, via the Internet

International Classes:

036 - Primary Class

Class Status:

Active

Serial Number:

73389707

Mark:

SHAREBUILDER

Status:

CANCELLED - SECTION 8

Mark Type:

SERVICE MARK

Application Filing Date:

1982-09-27

Mark Drawing Type:

Typeset: Word(s)/letter(s)/number(s)

Mark Literal Elements:

SHAREBUILDER

USPTO Link:

View Trademark Status and Document Retrieval (TSDR)

Goods And Services

For:

Stock Brokerage Services

First Use:

1980-01-01

International Classes:

036 - Primary Class

Class Status:

Sec. 8 – Entire Registration

OSHA's Inspections within Industry

Inspection Summary

Date:

1984-09-12

Type:

Complaint

Address:

1 LIBERTY PLAZA, NEW YORK, NY, 10080

Safety Health:

Health

Scope:

Complete

Inspection Link:

View Inspection data on OSHA website

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Date of last update: 18 Mar 2025

Sources: New York Secretary of State

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Is this your business?

Company Details

Agent

DOS Process Agent

Chief Executive Officer

Unique Entity ID

Business Information

Central Index Key

Latest Filings

Commercial and government entity program

Contact Information

History

Filings

Trademarks Section

Goods And Services

Goods And Services

Goods And Services

Goods And Services

OSHA's Inspections within Industry

Inspection Summary

Reviews Leave a review

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