MERRILL LYNCH, PIERCE, FENNER & SMITH INC.
CIK 728612 · last filed 2026-08-20
MERRILL LYNCH, PIERCE, FENNER & SMITH INC. is a corporate insider who has filed 303 SEC Form 4 insider transactions across 120 companies since 2007. The most recent filing, for PML, was dated Aug 20, 2026. Across all open-market trades the lifetime net is −$1.45B, making them a net seller over the disclosed history. Current disclosed insider exposure totals $61.49B across reported positions. The firm reports its address in New York, NY. 206 SEC filings were submitted jointly with BANK OF AMERICA NA.
"Disclosed insider exposure" sums this person's most-recently-reported share counts across each company they're an insider in, multiplied by the current underlying price. It is not net worth — it misses retail holdings, private investments, real estate, index funds, and any company where the person isn't an SEC-reporting insider. For informational purposes only.
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Disclosed Exposure
$61.49B
Companies
120
Total Filings
303
Lifetime Open-Market Net
-$1.45B
Filer Profile
Reported Address
ONE BRYANT PARKNEW YORK, NY 10036
Phone
(800) 637-7455
Formerly Known As
MERRILL LYNCH PIERCE FENNER & SMITH INC (1998–2008)
Related Filers
BANK OF AMERICA NA — 206 joint filings, latest 2025-03-28
HERTZ GLOBAL HOLDINGS INC — 140 joint filings, latest 2008-11-17
ML Global Private Equity Fund, L.P. — 133 joint filings, latest 2007-08-21
Blue Ridge Investments, L.L.C. — 94 joint filings, latest 2019-07-15
BOFA SECURITIES, INC. — 28 joint filings, latest 2024-12-20
LYNCH INTERNATIONAL MERRILL — 18 joint filings, latest 2014-07-09
Uni-Pixel — 8 joint filings, latest 2013-04-18
BANK OF AMERICA CORP /DE/ — 6 joint filings, latest 2026-08-20
Profile details as reported on the filer's SEC submissions — for individual insiders the address is often in care of the issuer. Related filers are identified from jointly filed SEC submissions and shared reported addresses.
View filings on SEC EDGAR.
Holdings By Company
Latest on-record share count from this person's most recent non-derivative Form 4 transaction in each company. Disclosed exposure = shares × current underlying price.
| Symbol | Role | Shares | Price | Disclosed Exposure | Lifetime OM Net | Filings | Latest Filed |
|---|---|---|---|---|---|---|---|
| PML | 10%+ Owner | 100 | $7.24 | $724 | -$7 | 2 | 2026-08-20 |
| NMZ | 10%+ Owner | 0 | $9.86 | $0 | $0 | 4 | 2026-08-06 |
| PMM | 10%+ Owner | 0 | $6.12 | $0 | $501 | 5 | 2026-07-20 |
| NAN | 10%+ Owner | 3,000 | $10.75 | $32.2K | -$420 | 2 | 2026-05-21 |
| NMCO | 10%+ Owner | 0 | $10.20 | $0 | $160 | 1 | 2026-05-20 |
| VKI | 10%+ Owner | 3,359 | $8.67 | $29.1K | $41.0K | 9 | 2026-04-06 |
| NZF | 10%+ Owner | 0 | $11.92 | $0 | -$21 | 6 | 2026-02-27 |
| PCQ | 10%+ Owner | 0 | $8.54 | $0 | $0 | 1 | 2025-08-13 |
| FMN | 10%+ Owner | 13 | $10.90 | $142 | -$57 | 2 | 2025-04-11 |
| PIMCO MUNICIPAL INCOME FUND (PMF) Delisted | 10%+ Owner | 9,922 | $7.76 | $77.0K | -$5.8K | 2 | 2025-02-25 |
| NAD | 10%+ Owner | 800 | $11.46 | $9.2K | $78 | 2 | 2025-01-17 |
| VGM | 10%+ Owner | 0 | $10.10 | $0 | $53 | 2 | 2024-12-20 |
| NEW AMERICA HIGH INCOME FUND INC (HYB) Delisted | 10%+ Owner | 3,140 | $8.20 | $25.7K | $31 | 4 | 2024-12-20 |
| BLACKROCK MUNIYIELD FUND, INC. (MYD) Delisted | 10%+ Owner | 340 | $10.77 | $3.7K | $121.3K | 2 | 2024-12-13 |
| VCV | 10%+ Owner | 5,567 | $10.23 | $57.0K | $201.7K | 2 | 2024-12-13 |
| OIA | 10%+ Owner | 515 | $5.99 | $3.1K | $25.5K | 1 | 2024-12-13 |
| BTA | 10%+ Owner | 551 | $25.05 | $13.8K | $14.8K | 1 | 2024-12-13 |
| BNY | 10%+ Owner | 0 | $164.84 | $0 | -$6.7K | 3 | 2024-12-13 |
| PIONEER MUNICIPAL HIGH INCOME ADVANTAGE FUND, INC. (MAV) Delisted | 10%+ Owner | 0 | $8.08 | $0 | $3.2K | 1 | 2024-12-13 |
| VTN | 10%+ Owner | 0 | $10.44 | $0 | -$194.1K | 1 | 2024-12-13 |
| AFB | 10%+ Owner | 907 | $10.60 | $9.6K | $2.8K | 4 | 2024-12-13 |
| DMB | 10%+ Owner | 5,000 | $10.44 | $52.2K | $312.9K | 1 | 2024-12-13 |
| MUJ | 10%+ Owner | 475 | $12.02 | $5.7K | $26.5K | 4 | 2024-12-13 |
| BLACKROCK MUNIHOLDINGS NEW YORK QUALITY FUND, INC. (MHN) Delisted | 10%+ Owner | 0 | $10.30 | $0 | -$252.5K | 2 | 2024-12-13 |
| NBH | 10%+ Owner | 0 | $10.05 | $0 | $306 | 2 | 2024-11-20 |
| EFR | 10%+ Owner | 96 | $10.47 | $1.0K | $1.5K | 4 | 2024-08-07 |
| GUT | 10%+ Owner | 0 | $6.53 | $0 | $20.3K | 4 | 2024-07-02 |
| GGT | 0 | $4.06 | $0 | -$28.4K | 1 | 2018-06-07 | |
| PHK | 100 | $4.50 | $450 | $21 | 1 | 2016-07-26 | |
| GDV | 10%+ Owner | 0 | $29.98 | $0 | -$1.6K | 7 | 2015-04-29 |
| PMO | 10%+ Owner | 400 | $10.12 | $4.0K | $167 | 3 | 2014-01-29 |
| BLACKROCK MUNICIPAL 2018 TERM TRUST (BPK) Delisted | 10%+ Owner | 0 | — | — | $1.5K | 4 | 2013-08-02 |
| PTY | 10%+ Owner | 200 | $11.75 | $2.4K | $6.8K | 6 | 2012-01-03 |
| BLACKROCK MUNIVEST FUND, INC. (MVF) Delisted | 10%+ Owner | 141 | $7.07 | $997 | $991 | 3 | 2011-12-27 |
| MHD | 10%+ Owner | 0 | $11.22 | $0 | $4.5K | 3 | 2011-12-27 |
| BLACKROCK MUNIHOLDINGS QUALITY FUND, INC. (MUS) Delisted | 10%+ Owner | 0 | — | — | $2.2K | 2 | 2011-12-27 |
| BLACKROCK MUNIHOLDINGS QUALITY FUND II, INC. (MUE) Delisted | 10%+ Owner | 1,437 | $10.07 | $14.5K | $3.7K | 3 | 2011-12-27 |
| DNP | 10%+ Owner | 0 | $10.74 | $0 | -$426 | 7 | 2011-12-06 |
| VMO | 10%+ Owner | 0 | $9.53 | $0 | $10.3K | 5 | 2011-11-14 |
| Advent Claymore Convertible Securities & Income Fund II (AGC) Delisted | 10%+ Owner | 199 | $11.01 | $2.2K | $2.9K | 5 | 2011-11-09 |
| Invesco Van Kampen Select Sector Municipal Trust (VKL) Delisted | 10%+ Owner | 0 | — | — | $238 | 1 | 2011-11-07 |
| VKQ | 10%+ Owner | 0 | $9.58 | $0 | -$53 | 3 | 2011-10-27 |
| BTF | 10%+ Owner | 0 | $21.86 | $0 | $118 | 2 | 2011-09-22 |
| BNJ | 10%+ Owner | 0 | $15.17 | $0 | $34 | 1 | 2011-09-22 |
| Pioneer Floating Rate Trust (PHD) Delisted | 10%+ Owner | 500 | $9.95 | $5.0K | $1.6K | 2 | 2011-09-21 |
| DUFF & PHELPS UTILITY & CORPORATE BOND TRUST INC (DUC) Delisted | 10%+ Owner | 0 | — | — | $8 | 1 | 2011-08-24 |
| PIONEER HIGH INCOME TRUST (PHT) Delisted | 10%+ Owner | 310 | $8.32 | $2.6K | -$3 | 3 | 2011-08-11 |
| BLACKROCK MUNIYIELD NEW JERSEY QUALITY FUND, INC. (MJI) Delisted | 10%+ Owner | 225 | — | — | -$30 | 2 | 2011-08-09 |
| NUVEEN INSURED CALIFORNIA DIVIDEND ADVANTAGE MUNICIPAL FUND (NKL) Delisted | 10%+ Owner | 720 | — | — | -$198 | 1 | 2011-08-09 |
| BLACKROCK MUNIHOLDINGS INVESTMENT QUALITY FUND (MFL) Delisted | 10%+ Owner | 0 | $11.84 | $0 | $138 | 1 | 2011-08-09 |
| BLACKROCK MUNICIPAL INCOME TRUST (BFK) Delisted | 10%+ Owner | 0 | $10.09 | $0 | $1.7K | 2 | 2011-08-09 |
| Invesco Van Kampen Trust for Value Municipals (VIM) Delisted | 10%+ Owner | 1,600 | — | — | $12 | 1 | 2011-08-09 |
| NUVEEN INVESTMENT QUALITY MUNICIPAL FUND INC (NQM) Delisted | 10%+ Owner | 0 | — | — | $80 | 3 | 2011-07-11 |
| BLACKROCK FLORIDA MUNICIPAL 2020 TERM TRUST (BFO) Delisted | 10%+ Owner | 0 | — | — | -$15 | 1 | 2011-07-11 |
| NUVEEN PREMIUM INCOME MUNICIPAL FUND INC (NPI) Delisted | 10%+ Owner | 7 | — | — | $2.2K | 5 | 2011-07-11 |
| MPA | 10%+ Owner | 725 | $10.74 | $7.8K | -$160 | 1 | 2011-07-11 |
| EATON VANCE PENNSYLVANIA MUNICIPAL INCOME TRUST (EVP) Delisted | 10%+ Owner | 0 | — | — | $146 | 2 | 2011-07-11 |
| AVK | 10%+ Owner | 0 | $12.40 | $0 | $4.9K | 5 | 2011-07-11 |
| BLACKROCK MUNICIPAL 2020 TERM TRUST (BKK) Delisted | 10%+ Owner | 0 | — | — | -$616 | 2 | 2011-07-11 |
| BLACKROCK MUNIYIELD QUALITY FUND II, INC. (MQT) Delisted | 10%+ Owner | 35 | $10.29 | $360 | -$3 | 1 | 2011-07-11 |
| NEA | 10%+ Owner | 0 | $11.04 | $0 | $19 | 2 | 2011-07-11 |
| MYI | 10%+ Owner | 0 | $10.47 | $0 | $3.7K | 5 | 2011-06-08 |
| Uni-Pixel (UNXL) Delisted | 10%+ Owner | 645,273 | — | — | -$8.2K | 2 | 2011-06-07 |
| NUVEEN VIRGINIA DIVIDEND ADVANTAGE MUNICIPAL FUND 2 (NNB) Delisted | 10%+ Owner | 411 | — | — | $504 | 2 | 2011-05-13 |
| BLACKROCK CALIFORNIA MUNICIPAL INCOME TRUST (BFZ) Delisted | 10%+ Owner | 0 | $11.11 | $0 | $0 | 1 | 2011-05-13 |
| BLACKROCK MUNIYIELD CALIFORNIA FUND, INC. (MYC) Delisted | 10%+ Owner | 2,506 | $12.50 | $31.3K | $402 | 2 | 2011-05-13 |
| NUVEEN OHIO DIVIDEND ADVANTAGE MUNICIPAL FUND 2 (NBJ) Delisted | 10%+ Owner | 0 | — | — | $0 | 1 | 2011-05-13 |
| PFN | 10%+ Owner | 0 | $6.91 | $0 | $541 | 4 | 2011-05-03 |
| NEUBERGER BERMAN NEW YORK MUNICIPAL FUND INC. (NBO) Delisted | 10%+ Owner | 0 | $8.48 | $0 | $10 | 1 | 2011-05-03 |
| BLACKROCK MUNIENHANCED FUND, INC. (MEN) Delisted | 10%+ Owner | 417 | $12.08 | $5.0K | $97 | 1 | 2011-05-03 |
| Delaware Investments Colorado Municipal Income Fund, Inc. (VCF) Delisted | 10%+ Owner | 0 | $13.81 | $0 | $168 | 1 | 2011-05-03 |
| BLACKROCK MUNICIPAL INCOME TRUST II (BLE) Delisted | 10%+ Owner | 200 | $10.54 | $2.1K | $97 | 2 | 2011-05-03 |
| BLACKROCK MUNIYIELD NEW JERSEY FUND, INC. (MYJ) Delisted | 10%+ Owner | 400 | $13.07 | $5.2K | $17 | 1 | 2011-05-03 |
| GAB | 10%+ Owner | 1,841 | $5.67 | $10.4K | $572 | 4 | 2011-05-03 |
| BLACKROCK MUNICIPAL BOND TRUST (BBK) Delisted | 10%+ Owner | 424 | — | — | -$3.7K | 1 | 2011-05-03 |
| NUVEEN MICHIGAN QUALITY MUNICIPAL INCOME FUND (NUM) Delisted | 10%+ Owner | 501 | — | — | $2.2K | 2 | 2011-05-03 |
| NUVEEN QUALITY INCOME MUNICIPAL FUND INC (NQU) Delisted | 10%+ Owner | 200 | — | — | $16 | 1 | 2011-05-03 |
| NPV | 10%+ Owner | 100 | $10.27 | $1.0K | -$44 | 1 | 2011-05-03 |
| PFL | 10%+ Owner | 155 | $7.53 | $1.2K | -$68 | 1 | 2011-05-03 |
| FLC | 10%+ Owner | 0 | $16.46 | $0 | -$2.0K | 2 | 2011-05-03 |
| NUVEEN NEW JERSEY QUALITY MUNICIPAL INCOME FUND (NXJ) Delisted | 10%+ Owner | 0 | $12.41 | $0 | $450 | 1 | 2011-05-03 |
| BLACKROCK NEW YORK MUNICIPAL 2018 TERM TRUST (BLH) Delisted | 10%+ Owner | 90 | — | — | $5 | 1 | 2011-05-03 |
| DTF | 10%+ Owner | 19 | $11.45 | $218 | $2 | 1 | 2011-05-03 |
| BlackRock Municipal Credit Alpha Portfolio, Inc. (MUI) Delisted | 10%+ Owner | 0 | $12.09 | $0 | -$13 | 1 | 2011-05-03 |
| NUVEEN NEW YORK QUALITY INCOME MUNICIPAL FUND INC (NUN) Delisted | 10%+ Owner | 0 | — | — | $2.2K | 4 | 2011-05-03 |
| BLACKROCK INVESTMENT QUALITY MUNICIPAL TRUST, INC. (BKN) Delisted | 10%+ Owner | 0 | $11.54 | $0 | -$6 | 1 | 2011-05-03 |
| UTG | 10%+ Owner | 3,050 | $38.30 | $116.8K | $631 | 1 | 2011-03-21 |
| PCN | 10%+ Owner | 700 | $11.73 | $8.2K | -$389 | 1 | 2011-03-21 |
| TORTOISE ENERGY CAPITAL CORP (TYY) Delisted | 10%+ Owner | 390 | — | — | -$644.8K | 8 | 2011-03-21 |
| NUVEEN CALIFORNIA DIVIDEND ADVANTAGE MUNICIPAL FUND 3 (NZH) Delisted | 10%+ Owner | 0 | — | — | $7 | 1 | 2011-03-21 |
| EAD | 10%+ Owner | 100 | $6.37 | $637 | -$5 | 2 | 2011-03-21 |
| NVX | 10%+ Owner | 8 | $3.01 | $24 | -$18 | 1 | 2011-03-21 |
| KYN | 10%+ Owner | 21 | $14.81 | $311 | $19.8K | 3 | 2011-03-18 |
| NUVEEN MUNICIPAL ADVANTAGE FUND INC (NMA) Delisted | 10%+ Owner | 50 | — | — | -$193 | 1 | 2011-03-18 |
| NMP | 10%+ Owner | 500 | $10.34 | $5.2K | $258 | 2 | 2011-03-18 |
| NCZ | 10%+ Owner | 1,175 | $15.42 | $18.1K | $4.3K | 1 | 2011-03-18 |
| LEO | 10%+ Owner | 450 | $6.07 | $2.7K | -$416 | 1 | 2011-03-18 |
| MANAGED DURATION INVESTMENT GRADE MUNICIPAL FUND (MZF) Delisted | 10%+ Owner | 0 | — | — | -$582 | 1 | 2011-03-18 |
| EATON VANCE MASSACHUSETTS MUNICIPAL INCOME TRUST (MMV) Delisted | 10%+ Owner | 0 | $0.48 | $0 | -$2 | 1 | 2011-03-18 |
| NUVEEN NEW YORK PREMIUM INCOME MUNICIPAL FUND INC (NNF) Delisted | 10%+ Owner | 0 | — | — | $0 | 1 | 2011-03-18 |
| NUVEEN TEXAS QUALITY MUNICIPAL INCOME FUND (NTX) Delisted | 10%+ Owner | 0 | — | — | $37 | 2 | 2011-03-18 |
| EFT | 10%+ Owner | 700 | $10.65 | $7.5K | -$6 | 1 | 2011-03-17 |
| BLACKROCK STRATEGIC MUNICIPAL TRUST (BSD) Delisted | 10%+ Owner | 0 | $14.76 | $0 | $298 | 1 | 2011-03-17 |
| ALLIANCE NEW YORK MUNICIPAL INCOME FUND (AYN) Delisted | 10%+ Owner | 400 | — | — | $234 | 1 | 2011-03-17 |
| BLACKROCK MUNICIPAL INCOME INVESTMENT TRUST (BBF) Delisted | 10%+ Owner | 0 | $14.42 | $0 | $4 | 1 | 2011-03-17 |
| FEDERATED PREMIER INTERMEDIATE MUNICIPAL INCOME FUND (FPT) Delisted | 10%+ Owner | 5 | — | — | $13 | 1 | 2011-03-17 |
| BLACKROCK PENNSYLVANIA STRATEGIC MUNICIPAL TRUST (BPS) Delisted | 10%+ Owner | 1,000 | — | — | $76 | 1 | 2011-03-17 |
| NUVEEN CONNECTICUT QUALITY MUNICIPAL INCOME FUND (NTC) Delisted | 10%+ Owner | 0 | — | — | $0 | 1 | 2011-01-21 |
| BLACKROCK INVESTMENT QUALITY MUNICIPAL INCOME TRUST (RFA) Delisted | 10%+ Owner | 0 | — | — | -$28 | 1 | 2009-12-04 |
| EATON VANCE NEW YORK MUNICIPAL INCOME TRUST (EVY) Delisted | 10%+ Owner | 376 | $15.17 | $5.7K | -$8 | 1 | 2009-11-30 |
| NUVEEN PREMIUM INCOME MUNICIPAL FUND 2 INC (NPM) Delisted | 10%+ Owner | 289 | — | — | -$1 | 2 | 2009-11-30 |
| NUVEEN NEW JERSEY INVESTMENT QUALITY MUNICIPAL FUND INC (NQJ) Delisted | 10%+ Owner | 1,000 | — | — | $17 | 1 | 2009-11-13 |
| BLACKROCK CALIFORNIA MUNICIPAL INCOME TRUST II (BCL) Delisted | 10%+ Owner | 0 | — | — | $42 | 1 | 2009-10-09 |
| Cohen & Steers Global Income Builder, Inc (INB) Delisted | 10%+ Owner | 0 | — | — | $21.3K | 1 | 2009-10-09 |
| NCL | 10%+ Owner | 0 | $0.16 | $0 | $4 | 1 | 2009-10-02 |
| BLACKROCK NEW YORK MUNICIPAL INCOME TRUST II (BFY) Delisted | 10%+ Owner | 25 | $15.41 | $385 | $6 | 1 | 2009-09-02 |
| NUVEEN CONNECTICUT DIVIDEND ADVANTAGE MUNICIPAL FUND (NFC) Delisted | 10%+ Owner | 100 | — | — | $600 | 1 | 2009-08-18 |
| BTZ | 10%+ Owner | 750 | $9.95 | $7.5K | -$73 | 1 | 2009-06-29 |
| BLK | Director | 54,621,967 | $1122.29 | $61.30B | -$28.74M | 4 | 2009-01-30 |
| HTZ | 10%+ Owner | 80,756,555 | $2.30 | $185.74M | -$1.42B | 29 | 2008-11-17 |
Recent Filings
303 filingsInsider activity across all companies, newest first. Form 4 rows are post-trade confirmations (buys, sells, grants, exercises). Notice (144) rows are pre-trade notices of intent to sell restricted or control stock under Rule 144 — they may not all execute. Compare adjacent dates to see which notices became actual sales.
| Filed | Symbol | Action | Net Shares | Net $ | Link |
|---|---|---|---|---|---|
| 2026-08-20 | PML | Mixed | — | $19 | EDGAR |
| 2026-08-12 | — | Mixed | — | -$764 | |
| 2026-08-06 | NMZ | Mixed | — | -$0 | EDGAR |
| 2026-08-06 | NMZ | Mixed | — | -$0 | EDGAR |
| 2026-07-28 | NMZ | Mixed | — | $1 | EDGAR |
| 2026-07-20 | PMM | Mixed | — | $4 | EDGAR |
| 2026-05-21 | NAN | Mixed | — | -$570 | EDGAR |
| 2026-05-20 | NMCO | Mixed | — | $160 | EDGAR |
| 2026-05-12 | — | Sell (S) | −814 | -$10.1K | |
| 2026-05-04 | — | Buy (P) | +814 | $10.0K |
Showing 1–10 of 303
Page 1 of 31
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Form 4 codes: P = open-market purchase · S = open-market sale · A = grant/award · M = option exercise · F = tax withholding at vest · G = bona-fide gift · D = disposition to issuer · J = other (see filing footnote). Only P / S codes carry directional signal.
Notice (144 / 144/A): Form 144 is a notice of intent to sell restricted/control stock under Rule 144, filed before the sale; 144/A is an amendment. Many notices are pre-scheduled under Rule 10b5-1 plans. A Form 4 with code S typically follows within a few days when the planned sale executes; missing follow-up Form 4s suggest the notice was cancelled or modified.
Notice (144 / 144/A): Form 144 is a notice of intent to sell restricted/control stock under Rule 144, filed before the sale; 144/A is an amendment. Many notices are pre-scheduled under Rule 10b5-1 plans. A Form 4 with code S typically follows within a few days when the planned sale executes; missing follow-up Form 4s suggest the notice was cancelled or modified.