Details

MERRILL LYNCH PIERCE FENNER & SMITH 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 Click the link below to view financial information for this firm View Financial Information Firm Activity Status Firm has on-exchange futures and/or options customer accounts Yes Firm is soliciting customers Yes Firm manages futures or options customer accounts No Firm operates commodity pools No Firm is engaged in retail off-exchange foreign currency futures and/or options No Regulatory Actions  Agency Number NFA 0 CFTC 2 Exchanges 17 details...   NFA Arbitration Decisions  Role Number Claimant 1 Respondent 4 details...   CFTC Reparations Cases Total 214 details... Formerly Known As No other names   Business Address ONE BRYANT PARK NEW YORK, NY  10036 UNITED STATES 212 670-4222 Doing Business As • BANK OF AMERICA MERRILL LYNCH   Listed Principals  Listed Principal Name Title 10% or More Financial Interest DAVID CLARKE DARNELL DIRECTOR NO JENNIFER HILL CHIEF FINANCIAL OFFICER NO PETER GEDGE JOHNSON HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION NO MERRILL LYNCH & CO INC YES THOMAS K MONTAG CHIEF EXECUTIVE OFFICER NO MICHAEL BENJAMIN RADEST CHIEF COMPLIANCE OFFICER NO WILLIAM EUGENE TIRRELL HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION NO History  Status Effective Date • ALSO SEE NFA ID 0064837    • SWAP FIRM APPROVED 01/03/2013  • SWAP FIRM PENDING 12/20/2012  • EXEMPT FOREIGN FIRM AGENT APPROVED 11/02/2001  • NFA MEMBER APPROVED 12/01/1982  • FUTURES COMMISSION MERCHANT REGISTERED 06/30/1982