<SEC-DOCUMENT>0001140361-16-086173-index.html : 20161114 <SEC-HEADER>0001140361-16-086173.hdr.sgml : 20161111 <ACCEPTANCE-DATETIME>20161114142126 ACCESSION NUMBER: 0001140361-16-086173 CONFORMED SUBMISSION TYPE: 13F-NT PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160930 FILED AS OF DATE: 20161114 DATE AS OF CHANGE: 20161114 EFFECTIVENESS DATE: 20161114 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: 161993649 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 </SEC-HEADER> <DOCUMENT> <TYPE>13F-NT <SEQUENCE>1 <FILENAME>primary_doc.xml <TEXT> Document 1 - file: primary_doc.html
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