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Details

MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED NFA ID: 0001062

Current Status
• ALSO SEE NFA ID 0064837 
 
• SWAP FIRM APPROVED 
• EXEMPT FOREIGN FIRM AGENT APPROVED 
• NFA MEMBER APPROVED 
• FUTURES COMMISSION MERCHANT REGISTERED 
FCM Financial Information
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Firm Activity Status
Firm has on-exchange futures and/or options customer accountsYes
Firm is soliciting customersYes
Firm manages futures or options customer accountsNo
Firm operates commodity poolsNo
Firm is engaged in retail off-exchange foreign currency futures and/or optionsNo
Regulatory Actions
 AgencyNumber
NFA0
CFTC3
Exchanges27
details...
 
NFA Arbitration Decisions
 RoleNumber
Claimant1
Respondent4
details...
 
CFTC Reparations Cases
Total214
details...
Formerly Known As
• MERRILL LYNCH PIERCE FENNER & SMITH
 
Business Address
ONE BRYANT PARK
NEW YORK, NY  10036
UNITED STATES
1-800-MERRILL
Doing Business As
• BANK OF AMERICA MERRILL LYNCH 
Listed Principals
 Listed Principal Name Title 10% or More
Financial Interest
LIZBETH NELLE APPLEBAUMCHIEF FINANCIAL OFFICERNO
BAC NORTH AMERICA HOLDING COMPANY YES
BANK OF AMERICA CORPORATION YES
FABRIZIO GALLODIRECTORNO
EDWARD WALTER MCLAREN IIICHIEF COMPLIANCE OFFICERNO
THOMAS KELL MONTAGCHIEF EXECUTIVE OFFICERNO
ANDREW MASON SIEGDIRECTORNO
JOHN WILLIAM THIELDIRECTORNO
DEAN ADAM TONKINHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
MARC JASON WINTERSHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
History
 Status Effective Date
• ALSO SEE NFA ID 0064837 
 
• SWAP FIRM APPROVED01/03/2013 
• SWAP FIRM PENDING12/20/2012 
• EXEMPT FOREIGN FIRM AGENT APPROVED11/02/2001 
• NFA MEMBER APPROVED12/01/1982 
• FUTURES COMMISSION MERCHANT REGISTERED06/30/1982 
 
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