Douglas Legate Howard

CRD 1019738 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Salt Lake City, UT

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 65Series 63SIESeries 3Series 7
Registered states (29): Alaska · Arizona · California · Colorado · Florida · Georgia · Hawaii · Idaho · Illinois · Iowa · Maryland · Massachusetts · Mississippi · Missouri · Montana · Nebraska · Nevada · New Jersey · New Mexico · New York · North Carolina · Oregon · Pennsylvania · Texas · Utah · Virginia · Washington · Wisconsin · Wyoming
Years in the industry (source record): 45
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 1019738 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (7)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Salt Lake City, UT · IA capacity

Oct 27, 2015 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Salt Lake City, UT · BC capacity

start not retrieved → present
Zions Capital Advisors, Inc.
IA capacity

Jan 12, 2006 → Feb 18, 2015
Zions Direct, Inc.
BD capacity

May 13, 1994 → Feb 18, 2015
Zions Direct, Inc.
IA capacity

Jan 1, 1999 → Dec 31, 2006
Dean Witter Reynolds Inc.
BD capacity

Jul 20, 1982 → May 3, 1991
Wedbush, Noble, Cooke, Inc
BD capacity

Nov 26, 1981 → Jun 29, 1982

Source & corrections

Where this page comes from

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