0000070858-13-000165.txt : 20130516 0000070858-13-000165.hdr.sgml : 20130516 20130516083937 ACCESSION NUMBER: 0000070858-13-000165 CONFORMED SUBMISSION TYPE: 13F-NT PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130331 FILED AS OF DATE: 20130515 DATE AS OF CHANGE: 20130516 EFFECTIVENESS DATE: 20130515 FILER: COMPANY DATA: COMPANY CONFORMED NAME: MERRILL LYNCH, PIERCE, FENNER & SMITH INC. CENTRAL INDEX KEY: 0000728612 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-NT SEC ACT: 1934 Act SEC FILE NUMBER: 028-00962 FILM NUMBER: 13849565 BUSINESS ADDRESS: STREET 1: 4 WORLD FINANCIAL CENTER STREET 2: NORTH TOWER CITY: NEW YORK STATE: NY ZIP: 10080 BUSINESS PHONE: 212-670-2756 MAIL ADDRESS: STREET 1: 4 WORLD FINANCIAL CENTER STREET 2: NORTH TOWER CITY: NEW YORK STATE: NY ZIP: 10080 FORMER COMPANY: FORMER CONFORMED NAME: MERRILL LYNCH PIERCE FENNER & SMITH INC DATE OF NAME CHANGE: 19920929 13F-NT 1 mlpfs13fnt.txt MERRILL LYNCH, PIERCE, FENNER & SMITH INC. - 13FNT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 Form 13F Form 13F Cover Page Report for the Quarter Ended March 29, 2013 Institutional Investment Manager Filing this Report: Merrill Lynch, Pierce, Fenner & Smith Incorporated 4 World Financial Center New York, NY 10080 Form 13F File Number: 028-00962 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Lawrence Emerson Attorney-In-Fact 212-670-2756 /s/ Lawrence Emerson ______________________________ /s/ Lawrence Emerson New York, NY May 15, 2013 Report Type: [ ] 13F HOLDINGS REPORT [x] 13F NOTICE [ ] 13F COMBINATION REPORT List of Other Managers Reporting for this Manager: Form 13F File Number 028-00158 Name: Bank of America Corporation