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Eric Schimpf

Director & Chief Executive Officer, State Designated Principal at Merrill Lynch, Pierce, Fenner & Smith

Investment adviser and broker registrationsLas Vegas, NVSEC record checked 17 October 2026

30
Years in the industry
12
Years at the firm
1
Adviser firms
3
State registrations

IAPD record retrieved 17 October 2026SEC record

Eric Schimpf is Director & Chief Executive Officer, State Designated Principal of Merrill Lynch, Pierce, Fenner & Smith Incorporated, a New York investment adviser managing $1.78T. Eric Schimpf has been registered through Merrill Lynch, Pierce, Fenner & Smith since 18 February 2014, has 30 years in the industry across 1 firm and has passed 9 licensing exams.

Role at Merrill Lynch, Pierce, Fenner & Smith

Title on Schedule A
Director & Chief Executive Officer, State Designated Principal
Control
Eric Schimpf is a control person of Merrill Lynch, Pierce, Fenner & Smith.
Ownership
An individual ownership band is not available in the source record.
Tenure
Eric Schimpf has held the filed role since April 2023.

The firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated
New York, NY

Form ADV filed 24 September 2026

$1.78T AUM1,838,984 clients25,721 advisers26 offices

Career on record

Eric Schimpf has been registered through Merrill Lynch, Pierce, Fenner & Smith since February 2014.

Firms and exams, newest first
  1. Passed Series 9, Series 10 and Series 99TO · 2023
  2. Passed SIE · 2018
  3. Passed Series 31 and Series 65 · 2014
  4. Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
    – present · 13 years
    Las Vegas, NV · Adviser representative · Firm CRD 7691
  5. Passed Series 8 · 1998
  6. Merrill Lynch, Pierce, Fenner & Smith Incorporated
    – · 13 years
    Atlanta, GA · Adviser representative · Firm CRD 7691
  7. Passed Series 7 and Series 63 · 1994

Registrations and exams

Eric Schimpf has a current investment-adviser registration in Georgia, Nevada and Texas and has passed 9 qualifying exams.

Georgia16 April 2014
Scope
Investment adviser representative
Status
Approved
Nevada9 February 2022
Scope
Investment adviser representative
Status
Approved
Texas18 February 2014
Scope
Investment adviser representative
Status
Approved, resident

Examinations

Series 6515 April 2014
Name
Uniform Investment Adviser Law Examination
Series 6320 July 1994
Name
Uniform Securities Agent State Law Examination
Series 92 January 2023
Name
General Securities Sales Supervisor - Options Module Examination
Series 102 January 2023
Name
General Securities Sales Supervisor - General Module Examination
Series 816 November 1998
Name
General Securities Sales Supervisor Examination (Options Module & General Module)
Series 99TO3 August 2023
Name
Operations Professional Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 3128 March 2014
Name
Futures Managed Funds Examination
Series 76 July 1994
Name
General Securities Representative Examination

Individual record

Full name
Eric A Schimpf
CRD
2494318
Firm
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Registration status
Investment adviser and broker registrations
Office
400 S RAMPART BLVD, MLWM EXECUTIVE OSJ, Las Vegas, NV 89145
Firm bio
newsroom.bankofamerica.com

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

Bank of America identifies Eric A. Schimpf as president and co-head of Merrill Wealth Management. Official firm biography

Common questions

Where does Eric Schimpf work?

Eric Schimpf has been Director & Chief Executive Officer, State Designated Principal of Merrill Lynch, Pierce, Fenner & Smith Incorporated since April 2023, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 24 September 2026

Is Eric Schimpf a financial advisor?

Yes. Eric Schimpf has a current investment-adviser registration in Georgia, Nevada and Texas, through Merrill Lynch, Pierce, Fenner & Smith since February 2014, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

How many years of experience does Eric Schimpf have?

Eric Schimpf has worked in the financial industry for 30 years as of 17 October 2026, counted from 16 September 1996, across 1 adviser firm.

Source: IAPD individual record, checked 17 October 2026

What exams has Eric Schimpf passed?

Eric Schimpf has passed 9 licensing exams: the Series 7, Series 63, Series 8, Series 31, Series 65, SIE, Series 9, Series 10 and Series 99TO. The earliest, the Series 7, was passed in July 1994.

Source: IAPD individual record, checked 17 October 2026

Where is Eric Schimpf based?

Eric Schimpf’s registered office is in Las Vegas, NV.

Source: IAPD individual record, checked 17 October 2026

Leadership at Merrill Lynch, Pierce, Fenner & Smith

Sources

  1. IAPD individual record, CRD 2494318. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Merrill Lynch, Pierce, Fenner & Smith Incorporated, filed 24 September 2026. Title, control and ownership bands.
  3. Merrill Lynch, Pierce, Fenner & Smith team page. Biography, education, credentials, awards.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Eric Schimpf or Merrill Lynch, Pierce, Fenner & Smith Incorporated and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.