Michael D Sweeney

CRD 1068756 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Darien, CT

IA RegisteredBroker

Also appears in the source record as: Michael James Sweeney

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): Series 65Series 63Series 26SIESeries 5Series 3Series 7
Registered states (22): Arizona · California · Colorado · Connecticut · Florida · Georgia · Iowa · Maryland · Massachusetts · Michigan · Minnesota · Montana · New Jersey · New York · North Carolina · Ohio · Oregon · Pennsylvania · South Carolina · Texas · Vermont · Virginia
Years in the industry (source record): 44
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 1068756 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 (9)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Darien, CT · IA capacity

Oct 23, 2009 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Darien, CT · BC capacity

start not retrieved → present
Banc Of America Investment Services, Inc.
BD capacity

Oct 10, 2008 → Oct 23, 2009
Banc Of America Investment Services, Inc.
IA capacity

Oct 10, 2008 → Oct 23, 2009
Wachovia Securities, LLC
BD capacity

Aug 5, 2003 → Oct 15, 2008
Wachovia Securities, LLC
IA capacity

Aug 5, 2003 → Oct 15, 2008
Ubs Financial Services Inc.
IA capacity

Dec 6, 2001 → Aug 13, 2003
Ubs Financial Services Inc.
BD capacity

Jan 28, 1995 → Aug 13, 2003
Kidder, Peabody & Co. Incorporated
BD capacity

Oct 20, 1982 → Jan 28, 1995

Source & corrections

Where this page comes from

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