Philip Michael Caso

CRD 1184083 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Aventura, FL

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (10): Series 65Series 63Series 10Series 9Series 8Series 4Series 24SIESeries 3Series 7
Registered states (24): California · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Illinois · Louisiana · Maryland · Massachusetts · Missouri · Montana · Nevada · New Jersey · New Mexico · New York · North Carolina · Ohio · Oklahoma · South Carolina · Texas · Utah · Virginia · Washington
Years in the industry (source record): 43
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 1184083 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 (6)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Aventura, FL · IA capacity

Oct 2, 1989 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Aventura, FL · BC capacity

start not retrieved → present
Rosenkrantz Lyon & Ross Incorporated
BD capacity

Nov 28, 1988 → Oct 7, 1989
Greentree Securities Corp.
BD capacity

Jan 4, 1988 → Dec 5, 1988
Brooks Weinger Robbins & Leeds Inc.
BD capacity

Jan 23, 1984 → Feb 3, 1988
Brooks, Hamburger, Satnick, Inc.
BD capacity

Aug 23, 1983 → Jan 27, 1984

Source & corrections

Where this page comes from

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