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Merrill Lynch, Pierce, Fenner & Smith Incorporated

Active New York, NY

(516)498-3300

Merrill Lynch, Pierce, Fenner & Smith Incorporated Overview

Merrill Lynch, Pierce, Fenner & Smith Incorporated filed as a Foreign for Profit Corporation in the State of Florida on Friday, January 2, 1959 and is approximately sixty-five years old, as recorded in documents filed with Florida Department of State. A corporate filing is called a foreign filing when an existing corporate entity files in a state other than the state they originally filed in. This does not necessarily mean that they are from outside the United States.

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Name
Andrew M. Sieg ~ Background Report ~	President CEO Director Vice President Officer Chief Executive Officer Sgp Designee
Thomas K. Montag 7 ~ Background Report ~	Chief Executive Officer NonPres Chairman President CEO Director Co-CEO Chief Executive Officer Sgp Designee-Line of
Walter R. Louis 2 ~ Background Report ~	Treasurer Director Managing Director NonTreas
Elizabeth A. Pryor 18 ~ Background Report ~	Secretary Assistant Secretary
Aron D. Levine ~ Background Report ~	Director
Manami Ishii 1 ~ Background Report ~	Treasurer
Faruqe Alam 2 ~ Background Report ~	Director Chief Financial Officer Managing Director Sgp Designee
David C. Heaton ~ Background Report ~	Director Chief Legal Officer Managing Director
Joseph A. Guardino 3 ~ Background Report ~	Director Managing Director Sgp Designee Chief Operating Officer Sgp Designee-Technol
Marcy Hingst ~ Background Report ~	Director Managing Director Sgp Designee
Keith T. Banks 6 ~ Background Report ~	Director
Keith Glenfield 2 ~ Background Report ~	Director
Lorna R. Sabbia 2 ~ Background Report ~	Director
David A. Piscitelli ~ Background Report ~	Chief Compliance Off Registered Investmen Co Chief Compliance Registeed Broker Dea
Jennifer E. Bennett 2 ~ Background Report ~	Assistant Secretary Secretary
Nathan A. Barth 27 ~ Background Report ~	Vice President
William L. McNairy 95 ~ Background Report ~	Senior Vice Presiden Srvp-Tax
Christine M. Costamagna 92 ~ Background Report ~	Assistant Secretary
Colleen O. Johnson 12 ~ Background Report ~	Assistant Secretary
Andrew Margolin 1 ~ Background Report ~	Assistant Secretary
Jopeph A. Guardino ~ Background Report ~	Chief Operations Off
Fabrizio Gallo 1 ~ Background Report ~	NonDir Director
John J. Muller ~ Background Report ~	NonSec Secretary
Andrea Riley Walser 2 ~ Background Report ~	Co anti Money Launde Co-anti-Money Launde
John Joseph Towey 1 ~ Background Report ~	Sgp Delegate
Kristen Dugan ~ Background Report ~	Co Chief Compliance Registered Broker De
Samantha J. Leventhal ~ Background Report ~	Co anti Money Launde
David C. Darnell ~ Background Report ~	Chairman President CEO Director Co-CEO
Jason Pritchard 70 ~ Background Report ~	President Secretary Vice President Senior Vice President
Sallie L. Krawcheck ~ Background Report ~	President CEO Director
Kenneth D. Lewis 13 ~ Background Report ~	CEO Director
Robert J. McCann 2 ~ Background Report ~	CEO Director
E. Stanley O'Neal ~ Background Report ~	CEO
Jeffrey N. Edwards ~ Background Report ~	CFO
Richard S. Seitz 3 ~ Background Report ~	Treasurer Director Managing Director NonTreas
Allen G. Braithwaite 2 ~ Background Report ~	Treasurer
Mark D. Linsz 1 ~ Background Report ~	Treasurer
Brad Taylor ~ Background Report ~	Treasurer Managing Director
Donna Desouza 73 ~ Background Report ~	Secretary Vice President
Eric Miller 73 ~ Background Report ~	Secretary Vice President Senior Vice President
John A. Kines 12 ~ Background Report ~	Director
Joe L. Price 11 ~ Background Report ~	Director
Amy W. Brinkley 11 ~ Background Report ~	Director
Eric R. Billings 10 ~ Background Report ~	Secretary
Gregory J. Fleming 6 ~ Background Report ~	Director Vice President
Bruce R. Thompson 3 ~ Background Report ~	Director
Alice A. Herald 2 ~ Background Report ~	Secretary
Lizbeth Applebaum 2 ~ Background Report ~	Director Chief Financial Officer Managing Director Sgp Designee-Finance
Daniel C. Sontag 1 ~ Background Report ~	Director
Eric Gallinek 1 ~ Background Report ~	Director Broker-Dealer Dir Co-Cco
Robert Munsey 1 ~ Background Report ~	Director Managing Director Sgp Designee-Risk
William C. Caccamise 1 ~ Background Report ~	Director Chief Legal Officer General Counsel Managing Director
David C. Darnel ~ Background Report ~	Director
Gale K. Chang ~ Background Report ~	Secretary
Candace E. Browning ~ Background Report ~	Director Secretary Vice President
Carlos M. Morales ~ Background Report ~	Director Secretary Vice President
Dow Kim ~ Background Report ~	Director Vice President
Judith A. Witterschein ~ Background Report ~	Secretary
Martin Butler ~ Background Report ~	Director
Simon Lioyd Greenwell ~ Background Report ~	Director
John W. Thiel ~ Background Report ~	Director
Gloria Greco ~ Background Report ~	Director Chief Compliance Off Managing Director Registered Investmen Brok Broker-Dealer Co-Cco
Crystal Holman 22 ~ Background Report ~	Vice President
Maria S. Barnes 23 ~ Background Report ~	Assistant Secretary
Standing Resolutions 13 ~ Background Report ~	Officer Vp-Tax
Taquana M. Johnson 5 ~ Background Report ~	Assistant Secretary
Edward McLaren 2 ~ Background Report ~	Chief Compliance Off Futures Commission M
Micheal B. Radest 1 ~ Background Report ~	Chief Compliance Off Managing Director Co-Cco Regi
Mary E. Willard 1 ~ Background Report ~	Assistant Secretary
William E. Tirrell 1 ~ Background Report ~	Managing Director
Helen Atkinson ~ Background Report ~	Assistant Secretary
Standing Resoluations ~ Background Report ~	Officer
Jennifer M. Hill ~ Background Report ~	Managing Director
Cheryl G. Thompson ~ Background Report ~	Anti-Money Launderin
Neil S. Grindrod ~ Background Report ~	Sgp Designee-Finance
Ben Derek Murrey ~ Background Report ~	Sgp Designee-Line of
Craig M. Timm ~ Background Report ~	Co-anti-Money Launde

Showing 8 records out of 77

Merrill Lynch, Pierce, Fenner & Smith Incorporated has another company listed as an officer. It is not uncommon for one company to hold a position in another company.

Name	Status	Incorporated	Key People	Role
Merrill Lynch Corporate Services Limited	Inactive			Secretary

Other Companies for Merrill Lynch, Pierce, Fenner & Smith Incorporated

Merrill Lynch, Pierce, Fenner & Smith Incorporated is listed as an officer in three other companies.

Name	Status	Incorporated	Key People	Role
Financial Data Services, LLC	Active	2016	7	Member
Enduro Management Company LLC	Active	2010	1	Member
Herzog, Heine, Geduld, LLC	Inactive	2001	1	Manager

50 N Laura St Jacksonville, FL 32202 200 Brickstone Sq Andover, MA 01810 100 Federal St Boston, MA 02110 200 Park Ave New York, NY 10166 100 Rialto Pl Melbourne, FL 32901 249 Royal Palm Way Palm Beach, FL 33480 401 N Tryon St Charlotte, NC 28202 717 5th Ave New York, NY 10022 45 William St Wellesley Hills, MA 02481 5200 Town Center Cir Boca Raton, FL 33486

Florida Department of State

Filing Type:	Foreign for Profit Corporation
Status:	Active
State:	Florida
State ID:	813294
Date Filed:	Friday, January 2, 1959

Florida Department of State

Filing Type:	Foreign for Profit Corporation
Status:	Inactive
State:	Florida
State ID:	P22019
Date Filed:	Wednesday, December 7, 1988

Texas Secretary of State

Filing Type:	Foreign For-Profit Corporation
Status:	Active
State:	Texas
State ID:	1930306
Date Filed:	Friday, January 2, 1959
Registered Agent	Ct Corp System

California Secretary of State

Filing Type:	Statement & Designation By Foreign Corporation
Status:	Active
State:	California
Foreign State:	Delaware
State ID:	00366057
Date Filed:	Friday, January 2, 1959

Nevada Secretary of State

Filing Type:	Foreign Corporation
Status:	Active
State:	Nevada
Foreign State:	Delaware
State ID:	C1-1959
Date Filed:	Friday, January 2, 1959
Registered Agent	The Corporation Trust Company of Nevada

New York Department of State

Filing Type:	Foreign Business Corporation
Status:	Active
State:	New York
Foreign State:	Delaware
County:	New York
State ID:	115813
Date Filed:	Friday, January 2, 1959
DOS Process	C T Corporation System
Source Record	NY DOS

Corporate Notes

Date	Type	Note
1/2/1959	Application for Certificate of Authority
1/2/1959	Legacy Filing
1/2/1959	Legacy Filing
1/2/1959	Amendment	CHAPTER 90: EXEMPT FILE NO. EX 2
1/2/1959	Foreign Qualification
1/2/1959	Name History/Actual	Merrill Lynch, Pierce, Fenner & Smith Incorporated
1/2/1959	Name History/Actual	Merrill Lynch, Pierce, Fenner & Smith Incorporated
1/13/1959	Amendment	INCREASING CAPITAL STOCK TO $15,000,000.00
2/27/1959	Amendment	CERT. AS TO AUTHORIZED NUMBER OF SHARES
11/17/1959	Amendment	AMENDING SEC. 1, NOT INCREASING CAP. STOCK
5/3/1960	Amendment	CERTIFICATE OF INCREASE OF AUT NUMBER OF SHARES NON VOTING COMMON STOCK PAR. 1 OF SEC. 1 OF ART. VI
5/23/1961	Amendment	CERT. OF INCREASE OF NON VOTING COMMON STOCK
8/6/1962	Amendment	CERT. OF INCREASE OF NON VOTING COMMON STOCK INCREASING CAPITAL STOCK TO $36,000,000.00
5/7/1963	Amendment	AMENDING ARTICLE VI
8/13/1963	Amendment	AUTHORIZED NUMBER OF SHARES DESIGNATED AS SHARES OF NON-VOTING COMMON STOCK
11/10/1964	Amendment	AUTHORIZED NUMBER OF SHARES NON-VOTING COMMON STOCK
9/7/1966	Amendment	AMENDMENT AMEND. ARTICLES VI, VII, XII, XIII & XVI AMENDMENT AMEND. ARTICLE IV NO CHANGE IN CAP. STOCK
12/6/1966	Amendment	AMENDMENT AMENDING ARTICLE VI
6/3/1968	Amendment	AMENDING ARTICLES IX THRU XVIII
12/27/1968	Application for Amended Certificate of Authority
3/21/1969	Amendment	AMENDMENT AMEND. ART. IV INC. CAP. TO: $72,000,000.00
6/15/1970	Amendment	CERT OF AMENDMENT-ART IV-$97,000,000.00
8/21/1970	Amendment	CERT OF DESIGNATIONS, PREFERENCES AND RIGHTS OF SERIES A PREFERRED STOCK OF THIS COMPANY
8/10/1971	Amendment	RESTATED ARTICLES OF INCORPORATION : CAPITAL STOCK : $105,000,000.00
6/4/1973	Articles Of Merger
6/5/1973	Amendment	CAPITAL STOCK $1,025,000.00
6/5/1973	Merger	AGREEMENT OF MERGER-MERGING INTERIM CORPORATION A DELAWARE CORPORATION INTO THIS COMPANY
9/21/1973	Application For Amended Certificate Of Authority
9/21/1973	Amendment	CERTIFICATE OF REDUCTION OF CAPITAL
7/24/1978	Articles Of Merger
2/22/1979	Merger	CERT OF FILING AGREEMENT OF MERGER MERGING WHITE, WELD & CO. INCORPORATED (A DELAWARE CORPORATION) INTO THIS CORPORATION
5/14/1979	Application for Amended Certificate of Authority
5/14/1979	RSC
6/12/1979	Amendment	CERTIFIED COPY OF CERTIFICATE OF REDUCTION OF CAPITAL
8/1/1983	Assumed Name Certificate
8/1/1983	Certificate of Assumed Business Name
1/6/1985	Change Of Registered Agent/Office
11/14/1988	Assumed Name Certificate
7/13/1990	Change Of Registered Agent/Office
8/14/1990	Assumed Name Certificate
11/9/1992	ABAND
11/9/1992	ABAND
2/1/1998	Annual List
1/27/1999	Annual List
10/29/1999	Registered Agent Address Change	CORPORATION TRUST COMPANY OF NEVAD KFA ONE EAST FIRST STREET RENO NV 89501 KFA
1/14/2000	Annual List
9/6/2000	Assumed Name Certificate
2/13/2001	Annual List
11/28/2001	Merger	CERTIFIED COPY OF CERTIFICATE OF MERGER FILED MERGING MERRILL LYNCH FUTURES INC., A (DE) CORPORATION, NOT QUALIFIED IN NEVADA, INTO THIS CORPORATION. EFF DATE: 11/2/01 (4)PGS. JEP
7/29/2002	Merger	CERTIFIED COPY OF CERTIFICATE OF OWNERSHIP FILED MERGING BROADCORT CAPITAL CORP., A (DE) CORPORATION, #C1815-1983 INTO THIS CORPORATION. (3)PGS. JEP
12/31/2002	Public Information Report (PIR)
12/31/2002	Public Information Report (PIR)
2/28/2003	Annual List
12/31/2003	Public Information Report (PIR)
1/15/2004	Annual List	List of Officers for 2004 to 2005
12/31/2004	Public Information Report (PIR)
4/11/2005	Annual List
12/12/2005	Annual List
12/31/2005	Public Information Report (PIR)
8/9/2006	Merge In
12/22/2006	Annual List
12/31/2006	Public Information Report (PIR)
1/2/2007	Certificate of Assumed Business Name
1/9/2007	Certificate of Assumed Business Name
4/16/2008	Annual List	08-09
12/22/2008	Annual List	08-09
12/31/2008	Public Information Report (PIR)
12/31/2008	Public Information Report (PIR)
12/31/2008	Public Information Report (PIR)
10/28/2009	Merge In
12/31/2009	Public Information Report (PIR)
2/16/2010	Annual List	jan 10-11 exp biz
4/19/2010	Change of Name or Address by Registered Agent
11/9/2010	Merge In
12/31/2010	Public Information Report (PIR)
1/27/2011	Annual List
2/5/2012	Annual List
12/31/2012	Public Information Report (PIR)
1/4/2013	Annual List
12/2/2013	Change of Name or Address by Registered Agent
12/31/2013	Public Information Report (PIR)
1/10/2014	Annual List
12/31/2014	Public Information Report (PIR)
1/28/2015	Annual List
7/14/2015	Amended List
1/28/2016	Annual List
1/10/2017	Annual List
12/21/2017	Annual List
12/31/2017	Public Information Report (PIR)
12/31/2018	Public Information Report (PIR)
1/18/2019	Annual List
12/31/2019	Public Information Report (PIR)

Trademarks for Merrill Lynch, Pierce, Fenner & Smith Incorporated

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