Company · CIK 728612

# MERRILL LYNCH, PIERCE, FENNER & SMITH INC.

| CIK | [728612](https://www.sec.gov/cgi-bin/browse-edgar?action=getcompany&CIK=0000728612) (SEC EDGAR) |
| --- | --- |
| Industry (SIC) | 6211 — Security Brokers, Dealers & Flotation Companies |
| Business address | NY |
| Listed | no ticker on SEC record today |
| First annual or quarterly report | none on EDGAR |

## Offerings

 0 registrations

No offering chain starts here after 2002-11-04: the company's filings belong to registrations filed earlier, or to drafts and notices only.

## Filings

 86

| Filed | Filing | Registration | Accession |
| --- | --- | --- | --- |
| 2012-01-20 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999512000257/9999999995-12-000257-index.htm) Declared effective | 333-96069 | 9999999995-12-000257 |
| 2012-01-20 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999512000256/9999999995-12-000256-index.htm) Declared effective | 333-96063 | 9999999995-12-000256 |
| 2012-01-20 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999512000255/9999999995-12-000255-index.htm) Declared effective | 333-96061 | 9999999995-12-000255 |
| 2012-01-20 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999512000254/9999999995-12-000254-index.htm) Declared effective | 333-95807 | 9999999995-12-000254 |
| 2012-01-20 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999512000253/9999999995-12-000253-index.htm) Declared effective | 333-92161 | 9999999995-12-000253 |
| 2012-01-20 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999512000252/9999999995-12-000252-index.htm) Declared effective | 333-89355 | 9999999995-12-000252 |
| 2012-01-20 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999512000251/9999999995-12-000251-index.htm) Declared effective | 333-78575 | 9999999995-12-000251 |
| 2012-01-20 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999512000250/9999999995-12-000250-index.htm) Declared effective | 333-54662 | 9999999995-12-000250 |
| 2012-01-20 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999512000249/9999999995-12-000249-index.htm) Declared effective | 333-52022 | 9999999995-12-000249 |
| 2012-01-20 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999512000248/9999999995-12-000248-index.htm) Declared effective | 333-44286 | 9999999995-12-000248 |
| 2012-01-20 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999512000247/9999999995-12-000247-index.htm) Declared effective | 333-43766 | 9999999995-12-000247 |
| 2012-01-20 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999512000246/9999999995-12-000246-index.htm) Declared effective | 333-43142 | 9999999995-12-000246 |
| 2012-01-20 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999512000245/9999999995-12-000245-index.htm) Declared effective | 333-37980 | 9999999995-12-000245 |
| 2012-01-20 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999512000244/9999999995-12-000244-index.htm) Declared effective | 333-36490 | 9999999995-12-000244 |
| 2012-01-20 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999512000243/9999999995-12-000243-index.htm) Declared effective | 333-36480 | 9999999995-12-000243 |
| 2012-01-20 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999512000242/9999999995-12-000242-index.htm) Declared effective | 333-33362 | 9999999995-12-000242 |
| 2012-01-20 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999512000241/9999999995-12-000241-index.htm) Declared effective | 333-31226 | 9999999995-12-000241 |
| 2011-03-28 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999511000804/9999999995-11-000804-index.htm) Declared effective | 333-96069 | 9999999995-11-000804 |
| 2011-03-28 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999511000803/9999999995-11-000803-index.htm) Declared effective | 333-96063 | 9999999995-11-000803 |
| 2011-03-28 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999511000802/9999999995-11-000802-index.htm) Declared effective | 333-96061 | 9999999995-11-000802 |
| 2011-03-28 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999511000801/9999999995-11-000801-index.htm) Declared effective | 333-95807 | 9999999995-11-000801 |
| 2011-03-28 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999511000798/9999999995-11-000798-index.htm) Declared effective | 333-92161 | 9999999995-11-000798 |
| 2011-03-28 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999511000797/9999999995-11-000797-index.htm) Declared effective | 333-89355 | 9999999995-11-000797 |
| 2011-03-28 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999511000796/9999999995-11-000796-index.htm) Declared effective | 333-78575 | 9999999995-11-000796 |
| 2011-03-28 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999511000794/9999999995-11-000794-index.htm) Declared effective | 333-54662 | 9999999995-11-000794 |
| 2011-03-28 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999511000793/9999999995-11-000793-index.htm) Declared effective | 333-52022 | 9999999995-11-000793 |
| 2011-03-28 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999511000792/9999999995-11-000792-index.htm) Declared effective | 333-44286 | 9999999995-11-000792 |
| 2011-03-28 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999511000791/9999999995-11-000791-index.htm) Declared effective | 333-43766 | 9999999995-11-000791 |
| 2011-03-28 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999511000790/9999999995-11-000790-index.htm) Declared effective | 333-43142 | 9999999995-11-000790 |
| 2011-03-28 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999511000789/9999999995-11-000789-index.htm) Declared effective | 333-37980 | 9999999995-11-000789 |
| 2011-03-28 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999511000788/9999999995-11-000788-index.htm) Declared effective | 333-36490 | 9999999995-11-000788 |
| 2011-03-28 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999511000787/9999999995-11-000787-index.htm) Declared effective | 333-36480 | 9999999995-11-000787 |
| 2011-03-28 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999511000786/9999999995-11-000786-index.htm) Declared effective | 333-33362 | 9999999995-11-000786 |
| 2011-03-28 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999511000785/9999999995-11-000785-index.htm) Declared effective | 333-31226 | 9999999995-11-000785 |
| 2010-06-15 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999510001839/9999999995-10-001839-index.htm) Declared effective | 333-96069 | 9999999995-10-001839 |
| 2010-06-15 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999510001838/9999999995-10-001838-index.htm) Declared effective | 333-96063 | 9999999995-10-001838 |
| 2010-06-15 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999510001837/9999999995-10-001837-index.htm) Declared effective | 333-96061 | 9999999995-10-001837 |
| 2010-06-15 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999510001836/9999999995-10-001836-index.htm) Declared effective | 333-95807 | 9999999995-10-001836 |
| 2010-06-15 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999510001835/9999999995-10-001835-index.htm) Declared effective | 333-92161 | 9999999995-10-001835 |
| 2010-06-15 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999510001834/9999999995-10-001834-index.htm) Declared effective | 333-89355 | 9999999995-10-001834 |
| 2010-06-15 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999510001833/9999999995-10-001833-index.htm) Declared effective | 333-78575 | 9999999995-10-001833 |
| 2010-06-15 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999510001831/9999999995-10-001831-index.htm) Declared effective | 333-54662 | 9999999995-10-001831 |
| 2010-06-15 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999510001830/9999999995-10-001830-index.htm) Declared effective | 333-52022 | 9999999995-10-001830 |
| 2010-06-15 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999510001829/9999999995-10-001829-index.htm) Declared effective | 333-44286 | 9999999995-10-001829 |
| 2010-06-15 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999510001828/9999999995-10-001828-index.htm) Declared effective | 333-43766 | 9999999995-10-001828 |
| 2010-06-15 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999510001827/9999999995-10-001827-index.htm) Declared effective | 333-43142 | 9999999995-10-001827 |
| 2010-06-15 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999510001826/9999999995-10-001826-index.htm) Declared effective | 333-37980 | 9999999995-10-001826 |
| 2010-06-15 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999510001825/9999999995-10-001825-index.htm) Declared effective | 333-36490 | 9999999995-10-001825 |
| 2010-06-15 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999510001824/9999999995-10-001824-index.htm) Declared effective | 333-36480 | 9999999995-10-001824 |
| 2010-06-15 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999510001823/9999999995-10-001823-index.htm) Declared effective | 333-33362 | 9999999995-10-001823 |
| 2010-06-15 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999510001822/9999999995-10-001822-index.htm) Declared effective | 333-31226 | 9999999995-10-001822 |
| 2009-03-13 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999509000633/9999999995-09-000633-index.htm) Declared effective | 333-96069 | 9999999995-09-000633 |
| 2009-03-13 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999509000632/9999999995-09-000632-index.htm) Declared effective | 333-96063 | 9999999995-09-000632 |
| 2009-03-13 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999509000631/9999999995-09-000631-index.htm) Declared effective | 333-96061 | 9999999995-09-000631 |
| 2009-03-13 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999509000630/9999999995-09-000630-index.htm) Declared effective | 333-95807 | 9999999995-09-000630 |
| 2009-03-13 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999509000629/9999999995-09-000629-index.htm) Declared effective | 333-92161 | 9999999995-09-000629 |
| 2009-03-13 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999509000628/9999999995-09-000628-index.htm) Declared effective | 333-89355 | 9999999995-09-000628 |
| 2009-03-13 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999509000627/9999999995-09-000627-index.htm) Declared effective | 333-78575 | 9999999995-09-000627 |
| 2009-03-13 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999509000623/9999999995-09-000623-index.htm) Declared effective | 333-54662 | 9999999995-09-000623 |
| 2009-03-13 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999509000622/9999999995-09-000622-index.htm) Declared effective | 333-52022 | 9999999995-09-000622 |
| 2009-03-13 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999509000619/9999999995-09-000619-index.htm) Declared effective | 333-44286 | 9999999995-09-000619 |
| 2009-03-13 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999509000618/9999999995-09-000618-index.htm) Declared effective | 333-43766 | 9999999995-09-000618 |
| 2009-03-13 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999509000617/9999999995-09-000617-index.htm) Declared effective | 333-43142 | 9999999995-09-000617 |
| 2009-03-13 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999509000616/9999999995-09-000616-index.htm) Declared effective | 333-37980 | 9999999995-09-000616 |
| 2009-03-13 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999509000615/9999999995-09-000615-index.htm) Declared effective | 333-36490 | 9999999995-09-000615 |
| 2009-03-13 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999509000614/9999999995-09-000614-index.htm) Declared effective | 333-36480 | 9999999995-09-000614 |
| 2009-03-13 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999509000613/9999999995-09-000613-index.htm) Declared effective | 333-33362 | 9999999995-09-000613 |
| 2009-03-13 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999509000612/9999999995-09-000612-index.htm) Declared effective | 333-31226 | 9999999995-09-000612 |
| 2007-09-20 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999507003744/9999999995-07-003744-index.htm) Declared effective | 333-54662 | 9999999995-07-003744 |
| 2007-08-15 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999507003344/9999999995-07-003344-index.htm) Declared effective | 333-96069 | 9999999995-07-003344 |
| 2007-08-15 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999507003343/9999999995-07-003343-index.htm) Declared effective | 333-96063 | 9999999995-07-003343 |
| 2007-08-15 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999507003342/9999999995-07-003342-index.htm) Declared effective | 333-96061 | 9999999995-07-003342 |
| 2007-08-15 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999507003341/9999999995-07-003341-index.htm) Declared effective | 333-95807 | 9999999995-07-003341 |
| 2007-08-15 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999507003340/9999999995-07-003340-index.htm) Declared effective | 333-92161 | 9999999995-07-003340 |
| 2007-08-15 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999507003339/9999999995-07-003339-index.htm) Declared effective | 333-89355 | 9999999995-07-003339 |
| 2007-08-15 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999507003338/9999999995-07-003338-index.htm) Declared effective | 333-78575 | 9999999995-07-003338 |
| 2007-08-15 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999507003336/9999999995-07-003336-index.htm) Declared effective | 333-54662 | 9999999995-07-003336 |
| 2007-08-15 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999507003335/9999999995-07-003335-index.htm) Declared effective | 333-52022 | 9999999995-07-003335 |
| 2007-08-15 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999507003334/9999999995-07-003334-index.htm) Declared effective | 333-44286 | 9999999995-07-003334 |
| 2007-08-15 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999507003333/9999999995-07-003333-index.htm) Declared effective | 333-43766 | 9999999995-07-003333 |
| 2007-08-15 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999507003332/9999999995-07-003332-index.htm) Declared effective | 333-43142 | 9999999995-07-003332 |
| 2007-08-15 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999507003331/9999999995-07-003331-index.htm) Declared effective | 333-37980 | 9999999995-07-003331 |
| 2007-08-15 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999507003330/9999999995-07-003330-index.htm) Declared effective | 333-36490 | 9999999995-07-003330 |
| 2007-08-15 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999507003329/9999999995-07-003329-index.htm) Declared effective | 333-36480 | 9999999995-07-003329 |
| 2007-08-15 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999507003328/9999999995-07-003328-index.htm) Declared effective | 333-33362 | 9999999995-07-003328 |
| 2007-08-15 | [EFFECT](https://www.sec.gov/Archives/edgar/data/728612/999999999507003327/9999999995-07-003327-index.htm) Declared effective | 333-31226 | 9999999995-07-003327 |

[All filings of this company](https://equitycapital.markets/filings?cik=728612) · [CSV](https://equitycapital.markets/filings.csv?cik=728612)

---
Source page: https://equitycapital.markets/company/728612 · Data: U.S. SEC EDGAR · CC BY 4.0