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Merrill Lynch, Pierce, Fenner & Smith Incorporated

Active New York, NY

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-six 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 Director Vice President Officer Chief Executive Officer Sgp Designee CEO
Thomas K. Montag 7 ~ Background Report ~	Chief Executive Officer NonPres Chairman President CEO Director Co-CEO Chief Executive Officer Sgp Designee-Line of
Eric Schimpf ~ Background Report ~	CEO
Walter R. Louis 2 ~ Background Report ~	Treasurer Director Managing Director NonTreas
Elizabeth A. Pryor 19 ~ Background Report ~	Secretary Assistant Secretary
Lorna R. Sabbia 2 ~ Background Report ~	Director
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
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 30 ~ Background Report ~	Vice President
William L. McNairy 94 ~ Background Report ~	Senior Vice Presiden Srvp-Tax
Christine M. Costamagna 91 ~ 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 Director Co-CEO
Jason Pritchard 68 ~ 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
Mark D. Linsz 1 ~ Background Report ~	Treasurer
Allen G. Braithwaite 1 ~ Background Report ~	Treasurer
Brad Taylor ~ Background Report ~	Treasurer Managing Director
Donna Desouza 72 ~ Background Report ~	Secretary Vice President
Joe L. Price 11 ~ Background Report ~	Director
Amy W. Brinkley 11 ~ Background Report ~	Director
John A. Kines 11 ~ Background Report ~	Director
Eric R. Billings 9 ~ 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
Keith Glenfield 2 ~ Background Report ~	Director
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
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 21 ~ 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 76

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	6	Member
Enduro Management Company LLC	Active	2010	1	Member
Herzog, Heine, Geduld, LLC	Inactive	2001	1	Manager

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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	Sharebuilder Plan Serial Number: 73018366 Drawing Code:
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