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Investment Adviser Firm Summary

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD# 7691 / SEC# 8-7221, 801-14235)

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 12/08/1978

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 12/18/2000
Alaska 06/09/1993
Arkansas 01/17/1989
California 07/08/1997
Colorado 01/01/1999
Connecticut 08/19/1997
Delaware 08/28/2003
District of Columbia 11/27/1993
Florida 08/30/1982
Georgia 01/04/2001
Hawaii 06/01/1989
Idaho 07/15/1991
Illinois 04/12/1991
Indiana 11/08/2000
Iowa 01/01/1999
Kansas 12/30/1997
Kentucky 04/12/2001
Louisiana 10/11/2001
Maine 01/04/2001
Maryland 11/14/1990
Michigan 01/04/2001
Minnesota 01/05/1999
Mississippi 04/24/2001
Missouri 04/12/2001
Montana 12/26/1997
Nebraska 01/26/1998
Nevada 11/21/1990
New Hampshire 01/04/2001
New Jersey 08/25/1995
New Mexico 11/24/1987
New York 01/04/2001
North Carolina 10/23/2000
North Dakota 01/04/2001
Ohio 05/27/1999
Oklahoma 01/01/1998
Pennsylvania 06/15/2010
Rhode Island 01/01/1993
South Carolina 11/05/1992
South Dakota 10/12/1980
Tennessee 10/29/2001
Texas 01/01/1956
Utah 04/09/1993
Vermont 01/04/2001
Virgin Islands 04/25/2005
Virginia 08/20/1997
Washington 01/01/1990
West Virginia 01/26/1998
Wisconsin 02/02/1995

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser