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
Exchanges28
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 NFA Arbitration Decisions 
 RoleNumber
Claimant1
Respondent4
details...
 CFTC Reparations Cases 
Total214
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 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
FABRIZIO GALLODIRECTORNO
FELICIA MICHELLE GRUMETHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
EDWARD WALTER MCLAREN IIICHIEF COMPLIANCE OFFICERNO
THOMAS KELL MONTAGCHIEF EXECUTIVE OFFICERNO
NB HOLDINGS CORPORATION YES
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