MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

SEC CIK 0000065106

CIK #65106

The following is an index of Security and Exchange Commission registration information for MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. This page includes all SEC filing details as well as a list of any documents registered by MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED.
Latest Edgar Filing Status
Updated2019-05-24
TypeBROKER-DEALER
IRS Number (EIN/SSN)135674085 ( EIN # 13-5674085)
Reporting File Number008-07221
Mailing AddressONE BRYANT PARK 250 VESEY STREET NEW YORK, NEW YORK 10036
StateDELAWARE
Contact Phone212-670-0454
Fiscal Year End Date1231
Filings
Title
Date
Description
ATS-N-C - Notice of Cessation of Operations of NMS Stock ATS (Rule 304(a)(3))
2019-04-26 17:30:26-04:00
ATS-N-C
ATS-N-C - Notice of Cessation of Operations of NMS Stock ATS (Rule 304(a)(3))
2019-04-26 17:20:04-04:00
ATS-N-C
ABS-15G - Asset-backed securitizer report pursuant to Section 15G
2019-02-12 13:48:00-05:00
ABS-15G
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2018-03-08 13:18:19-05:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2018-03-08 10:30:55-05:00
FOCUS Report
ABS-15G - Asset-backed securitizer report pursuant to Section 15G
2018-02-08 11:42:06-05:00
ABS-15G
X-17A-5 [Paper] - FOCUS Report
2017-07-11 12:14:04-04:00
FOCUS Report
FOCUSN/A [Amend] [Paper] - Non-public annual audit reports filed by brokers or dealers
2017-07-11 12:17:04-04:00
FOCUSN/A [Amend] [Paper]
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2017-06-26 12:54:11-04:00
FOCUSN [Paper]
ABS-15G - Asset-backed securitizer report pursuant to Section 15G
2017-02-03 09:22:27-05:00
ABS-15G
X-17A-5 [Paper] - FOCUS Report
2016-03-18 09:30:01-04:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2016-03-11 16:57:25-05:00
FOCUSN [Paper]
ABS-15G - Asset-backed securitizer report pursuant to Section 15G
2016-02-09 17:02:26-05:00
ABS-15G
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2015-03-19 15:35:21-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2015-03-13 12:07:14-04:00
FOCUS Report
ABS-15G - Asset-backed securitizer report pursuant to Section 15G
2015-02-09 13:49:42-05:00
ABS-15G
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2014-04-18 17:40:10-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2014-03-18 11:06:24-04:00
FOCUS Report
ABS-15G - Asset-backed securitizer report pursuant to Section 15G
2014-02-03 14:27:22-05:00
ABS-15G
FWP - Filing under Securities Act Rules 163/433 of free writing prospectuses
2013-10-31 14:34:23-04:00
FWP
FWP - Filing under Securities Act Rules 163/433 of free writing prospectuses
2013-10-30 11:36:59-04:00
FWP
FWP - Filing under Securities Act Rules 163/433 of free writing prospectuses
2013-10-10 17:36:36-04:00
FWP
FWP - Filing under Securities Act Rules 163/433 of free writing prospectuses
2013-10-01 16:15:34-04:00
FWP
FWP - Filing under Securities Act Rules 163/433 of free writing prospectuses
2013-09-27 17:16:59-04:00
FWP
FWP - Filing under Securities Act Rules 163/433 of free writing prospectuses
2013-07-30 12:15:31-04:00
FWP
FWP - Filing under Securities Act Rules 163/433 of free writing prospectuses
2013-07-17 14:28:35-04:00
FWP
FWP - Filing under Securities Act Rules 163/433 of free writing prospectuses
2013-07-09 17:25:08-04:00
FWP
FWP - Filing under Securities Act Rules 163/433 of free writing prospectuses
2013-06-20 17:22:22-04:00
FWP
FWP - Filing under Securities Act Rules 163/433 of free writing prospectuses
2013-06-07 17:40:35-04:00
FWP
FWP - Filing under Securities Act Rules 163/433 of free writing prospectuses
2013-05-03 14:39:36-04:00
FWP
FWP - Filing under Securities Act Rules 163/433 of free writing prospectuses
2013-05-01 18:30:28-04:00
FWP
FWP - Filing under Securities Act Rules 163/433 of free writing prospectuses
2013-04-17 20:14:25-04:00
FWP
FWP - Filing under Securities Act Rules 163/433 of free writing prospectuses
2013-04-04 18:56:33-04:00
FWP
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2013-03-19 10:19:30-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2013-03-18 15:53:43-04:00
FOCUS Report
FWP - Filing under Securities Act Rules 163/433 of free writing prospectuses
2013-03-01 16:07:39-05:00
FWP
FWP - Filing under Securities Act Rules 163/433 of free writing prospectuses
2013-02-19 21:30:42-05:00
FWP
ABS-15G - Asset-backed securitizer report pursuant to Section 15G
2013-02-07 10:17:54-05:00
ABS-15G
ABS-15G/A [Amend] - Asset-backed securitizer report pursuant to Section 15G
2012-10-22 10:08:18-04:00
ABS-15G/A [Amend]
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2012-04-04 12:54:18-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2012-04-03 16:30:39-04:00
FOCUS Report
ABS-15G - Asset-backed securitizer report pursuant to Section 15G
2012-02-10 20:14:59-05:00
ABS-15G
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2011-04-11 16:04:45-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2011-03-25 10:21:20-04:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2010-03-16 17:54:03-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2010-03-08 19:18:10-05:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2009-03-25 18:05:27-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2009-03-11 18:41:54-04:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2008-04-08 16:11:45-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2008-04-02 07:20:43-04:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2007-03-06 08:49:45-05:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2007-03-05 10:36:39-05:00
FOCUS Report
X-17A-5 [Paper] - FOCUS Report
2007-03-22 10:43:24-04:00
FOCUS Report
X-17A-5/A [Amend] [Paper] - FOCUS Report
2007-03-08 18:09:14-05:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2006-03-23 16:22:16-05:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2006-03-16 16:25:45-05:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2005-03-22 07:19:01-05:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2005-03-14 11:09:17-05:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2004-03-31 16:23:51-05:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2004-03-02 15:39:01-05:00
FOCUS Report
X-17A-5 [Paper] - FOCUS Report
2003-03-21 15:20:37-05:00
FOCUS Report
X-17A-5/A [Amend] [Paper] - FOCUS Report
2002-03-27 00:00:00-05:00
FOCUS Report
X-17A-5 [Paper] - FOCUS Report
2002-02-27 00:00:00-05:00
FOCUS Report

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