MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED is recorded by the New York Department of State under DOS ID 115813, and its registry status is Active. New York classifies the company as a foreign business corporation whose jurisdiction of incorporation is Delaware: it is authorised to transact business in New York rather than incorporated there. The register’s filing history for this entity opens with an Application of Authority filed on 2 January 1959, and the most recent filing is a biennial statement filed on 9 January 2025, at which date the recorded entity status remained Active. Two certificates of amendment are also on file, dated 10 June 1976 and 24 January 1986.
The register records New York County as the county of business, C T Corporation System at 28 Liberty Street, New York, NY 10005 as the current agent and address for service of process, and One Bryant Park, New York, NY 10036 as the most recently filed principal executive office.
The company’s own audited consolidated balance sheet as at 31 December 2025, filed with the U.S. Securities and Exchange Commission under Rule 17a-5(e)(3) against SEC file number 8-07221, states that it is registered as a broker-dealer and as an investment adviser with the SEC and is a member firm of the Financial Industry Regulatory Authority and the New York Stock Exchange. That filing describes the business as brokerage, discretionary and non-discretionary investment advisory services, investment and custodial services for individual retirement accounts and small-business retirement plans, retirement-programme administration for corporations and their employees, and client financing through margin lending and other extensions of credit.
Data availability
New York does not publish a date of incorporation for a foreign corporation. 2 January 1959 is the date New York granted authority to transact business; the company’s Delaware date of incorporation is not stated on the New York register. The New York name-status dataset records no former name for DOS ID 115813, and New York publishes no share capital for foreign business corporations.
Sources
- New York Department of State, “Active Corporations: Beginning 1800” (open data, dataset n9v6-gdp6) — https://data.ny.gov/d/n9v6-gdp6 — retrieved 30 September 2026.
- New York Department of State, “Corporations and Other Entities: All Filings” (dataset 63wc-4exh), “Entity Status History” (3gg2-jgnp), “Address” (2tms-hftb), “Name Status History” (ekwr-p59j) and “Stock” (kiwr-v7e8) — https://data.ny.gov/d/63wc-4exh — retrieved 30 September 2026.
- U.S. Securities and Exchange Commission, EDGAR, Merrill Lynch, Pierce, Fenner & Smith Incorporated (CIK 0000065106), Form X-17A-5 for the period ended 31 December 2025, filed 27 February 2026 — https://www.sec.gov/Archives/edgar/data/65106/000006510626000004/0000065106-26-000004-index.htm — retrieved 30 September 2026.
- Company fundamentals
- Corporate linkage & group structures
- Digitized company financials
- Firmographics — websites, social profiles, revenue and employee estimates
Shareholders
Shareholders of MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
The New York Department of State publishes no shareholder or ownership information for DOS ID 115813. New York does not collect shareholder details from business corporations, and it does not record share capital for foreign business corporations: the state’s stock dataset returns no rows for this entity.
Ownership is stated instead in a regulatory filing the company makes itself. Note 1 to its audited consolidated balance sheet as at 31 December 2025, filed with the U.S. Securities and Exchange Commission on 27 February 2026 under Rule 17a-5(e)(3), states that the company “is a wholly-owned indirect subsidiary of Bank of America Corporation” and that its “direct parent is BAC North America Holding Company (BACNA), which is a wholly-owned subsidiary of NB Holdings Corporation”, NB Holdings itself being a wholly-owned subsidiary of Bank of America Corporation. The independent auditor’s report in the same filing is addressed to the board of directors and to a single “Stockholder”.
On that basis the sole shareholder of record at 31 December 2025 was BAC North America Holding Company, a Delaware corporation. No percentage holding, share class or share count is disclosed, and no natural person is identified as a shareholder or beneficial owner in any source consulted.
Data availability
The absence of shareholder data on the New York register reflects New York’s disclosure regime and is not evidence that the company has no shareholders. The ownership statement above is the company’s own audited disclosure as at a single reporting date, 31 December 2025, and may not describe the position today. New York publishes no beneficial ownership register.
Sources
- U.S. Securities and Exchange Commission, EDGAR, Merrill Lynch, Pierce, Fenner & Smith Incorporated (CIK 0000065106), Form X-17A-5, consolidated balance sheet at 31 December 2025, Note 1 “Organization”, filed 27 February 2026 — https://www.sec.gov/Archives/edgar/data/65106/000006510626000004/MLPFS2025public_g.pdf — retrieved 30 September 2026.
- New York Department of State, “Corporations and Other Entities: All Filings – Stock” (dataset kiwr-v7e8) and “Active Corporations: Beginning 1800” (n9v6-gdp6) — https://data.ny.gov/d/kiwr-v7e8 — retrieved 30 September 2026.
Officers
Directors and officers of MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
New York discloses one officer position for a registered corporation: the chief executive officer named on its most recent biennial statement. For DOS ID 115813 the register names:
- Andrew M. Sieg — chief executive officer, as recorded on the biennial statement filed 9 January 2025; address given as 401 N Tryon Street, Charlotte, NC 28255. Nationality: Not disclosed.
New York’s address dataset carries a second entry under the same chief-executive address type on that 9 January 2025 filing, in the name of Eric Schimpf at One Bryant Park, New York, NY 10036. The state’s active-corporation record for DOS ID 115813 names only Andrew M. Sieg in its chief-executive field, so the position of the second name is unclear from the register alone.
The same dataset preserves the chief executive named on earlier New York filings for this entity: Daniel P. Tully (statement filed 9 April 1993), Stephen L. Hammerman (17 April 1997), Herbert M. Allison, Jr. (27 January 1999), E. Stanley O’Neal (30 January 2003), Robert J. McCann (18 December 2006), Thomas Kell Montag (28 February 2011 and 2 January 2013) and Andrew M. Sieg (6 January 2021). These are historical register entries, not current appointments.
New York does not publish directors, company secretaries or other officers of a corporation, and it publishes no dates of birth, nationalities or appointment and resignation dates. The company’s audited consolidated balance sheet at 31 December 2025 is addressed to a board of directors but does not name its members.
Data availability
Nationality is recorded as “Not disclosed” because New York does not collect it; it has not been inferred from an address or a name. The absence of directors from the register is a limitation of New York’s disclosure, not evidence that the company has no board. Officer names on a biennial statement describe the position at the date that statement was filed.
Sources
- New York Department of State, “Active Corporations: Beginning 1800” (dataset n9v6-gdp6) — https://data.ny.gov/d/n9v6-gdp6 — retrieved 30 September 2026.
- New York Department of State, “Corporations and Other Entities: All Filings – Address” (dataset 2tms-hftb) — https://data.ny.gov/d/2tms-hftb — retrieved 30 September 2026.
- U.S. Securities and Exchange Commission, EDGAR, Form X-17A-5 for Merrill Lynch, Pierce, Fenner & Smith Incorporated, period ended 31 December 2025, filed 27 February 2026 — https://www.sec.gov/Archives/edgar/data/65106/000006510626000004/MLPFS2025public_g.pdf — retrieved 30 September 2026.
Group Structure
Group structure of MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
The New York Department of State publishes no parent, subsidiary or group information for any entity on its register, so nothing in this section comes from New York. The group tree held against this record in the underlying company-data feed is vendor-compiled material, not a filing made by or about DOS ID 115813, and it is wrong on the point that matters: it places this company as a direct child of Bank of America Corporation and lists BAC North America Holding Company as a sibling alongside it, whereas the company’s own audited filing states that BAC North America Holding Company is its direct parent. The feed tree should not be read as a filed group structure.
The relationship to Bank of America is nevertheless evidenced by two official filings, each naming this exact legal entity:
- Note 1 to the company’s audited consolidated balance sheet as at 31 December 2025, filed with the U.S. Securities and Exchange Commission on 27 February 2026: the company “is a wholly-owned indirect subsidiary of Bank of America Corporation”; its “direct parent is BAC North America Holding Company (BACNA), which is a wholly-owned subsidiary of NB Holdings Corporation”; and NB Holdings is a wholly-owned subsidiary of Bank of America Corporation.
- Exhibit 21 to Bank of America Corporation’s annual report on Form 10-K for the year ended 31 December 2025, filed 25 February 2026 and headed “Direct and Indirect Subsidiaries of Bank of America Corporation — As of December 31, 2025”. It lists “Merrill Lynch, Pierce, Fenner & Smith Incorporated” (location New York, NY; jurisdiction Delaware), and separately “BAC North America Holding Company” and “NB Holdings Corporation” (both Charlotte, NC; Delaware). Exhibit 21 does not set out the order of ownership between the three.
The Global Legal Entity Identifier Foundation records the company under LEI 8NAV47T0Y26Q87Y0QP81, jurisdiction Delaware, entity status Active, and publishes two relationship records: the company is directly consolidated by BAC North America Holding Company (LEI 549300QJR0LAHEJQC092) and ultimately consolidated by Bank of America Corporation (LEI 9DJT3UXIJIZJI4WXO774), for the accounting period ended 31 December 2024. GLEIF marks the corroboration level of both records as entity-supplied, so they are self-reported rather than independently validated, and they corroborate the audited filing rather than adding to it.
The company files a consolidated balance sheet and therefore has subsidiaries of its own, but that filing does not name them; it reports no interests in consolidated or unconsolidated variable interest entities at 31 December 2025. The subsidiaries shown beneath this company in the feed tree are unverified.
Data availability
Exhibit 21 describes the Bank of America group as a whole for the 2025 reporting year and is group-level material. No revenue, headcount, balance sheet total or assets under management of Bank of America Corporation or of the wider Merrill business is attributed here to DOS ID 115813, and no group history is attributed to this registration. The ownership chain above is stated as at 31 December 2025 and may change without any New York filing, because New York records no ownership.
Sources
- U.S. Securities and Exchange Commission, EDGAR, Merrill Lynch, Pierce, Fenner & Smith Incorporated (CIK 0000065106), Form X-17A-5, consolidated balance sheet at 31 December 2025, Note 1 “Organization”, filed 27 February 2026 — https://www.sec.gov/Archives/edgar/data/65106/000006510626000004/MLPFS2025public_g.pdf — retrieved 30 September 2026.
- U.S. Securities and Exchange Commission, EDGAR, Bank of America Corporation (CIK 0000070858), Form 10-K for the year ended 31 December 2025, Exhibit 21, filed 25 February 2026 — https://www.sec.gov/Archives/edgar/data/70858/000007085826000157/bac-1231202510xkex21.htm — retrieved 30 September 2026.
- Global Legal Entity Identifier Foundation, LEI record 8NAV47T0Y26Q87Y0QP81 and its direct and ultimate parent relationship records — https://search.gleif.org/#/record/8NAV47T0Y26Q87Y0QP81 — retrieved 30 September 2026.
Data-provider feed — rows as supplied to Zavia for New York Department of State — Division of Corporations, including entries the profile above does not cover. These rows are not a verbatim copy of the register: they have been found to duplicate the same person under different spellings and to keep a status of Active after an appointment ended. Where they disagree with the profile above, the profile is the checked version.
BANK OF AMERICA CORPORATION
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Frequently Asked Questions
Who is MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED's UBO (Ultimate Beneficial Owner)?
No Ultimate Beneficial Owner (UBO) data is recorded for MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED; access to beneficial-ownership data in this jurisdiction is governed by its own register rules.
What is MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED's company registration number?
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED's registration number is 115813, filed with New York Department of State — Division of Corporations in United States. Its current status on the register is active.
Is MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED still an active company?
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED's status on New York Department of State — Division of Corporations is listed as active.
When was MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED incorporated?
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED was incorporated on 2 January 1959, according to New York Department of State — Division of Corporations.
What is MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED's registered address?
The registered address on file for MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED is NEW YORK, United States.
What legal structure is MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED registered as?
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED is registered as a Private limited company (Ltd.) in United States.
Does MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED have a parent company or subsidiaries?
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED sits 1 level below its ultimate parent, BANK OF AMERICA CORPORATION. 4 subsidiaries are recorded beneath it, across 1 jurisdiction. Those 4 subsidiaries span United States jurisdiction, though this list should not be read as complete — subsidiaries only become visible here where shareholder data has actually been filed with a register, so holdings in jurisdictions without that filing simply won't appear.
Can Zavia monitor changes to MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED's ownership over time?
This profile reflects a point-in-time snapshot from New York Department of State — Division of Corporations. Zavia's monitoring API can track changes to MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED's registered shareholders, officers, and group structure going forward, flagging updates as they're filed rather than requiring a manual recheck.
Can I access MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED's data through an API?
Yes. Zavia's API connects directly to official government ownership registries across 195 countries and territories, including United States, so records like MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED's registration, shareholder, UBO, and group-structure data can be queried programmatically instead of viewed one page at a time.
Where does this company information come from, and how current is it?
This record is sourced directly from New York Department of State — Division of Corporations and was last synced on 30 September 2026.