Samuel Wajner

CRD 1248953 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Florham Park, NJ

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (9): Series 52TOSIESeries 7Series 10Series 9Series 53Series 24Series 65Series 63
Registered states (34): California · Colorado · Connecticut · District Of Columbia · Florida · Georgia · Illinois · Indiana · Kentucky · Maine · Maryland · Massachusetts · Michigan · Nebraska · Nevada · New Hampshire · New Jersey · New York · North Carolina · Ohio · Oklahoma · Oregon · Pennsylvania · Rhode Island · South Carolina · Tennessee · Texas · Utah · Vermont · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 42
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 1248953 contains one or more disclosure events as of Aug 20, 2026.

findmyFA.app does not reproduce, summarise, characterise, or interpret the content of disclosure events. A disclosure event is a category of entry in a regulatory record; it is not, by itself, a finding of wrongdoing. Read the events in full on the official systems:

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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
Florham Park, NJ · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Florham Park, NJ · BC capacity

start not retrieved → present
Rbc Capital Markets Corporation
Florham Park, NJ · IA capacity

May 10, 2002 → Nov 21, 2008
Rbc Capital Markets Corporation
Florham Park, NJ · BC capacity

Mar 9, 2002 → Nov 21, 2008
Tucker Anthony Incorporated
Boston, MA · BC capacity

Sep 1, 1999 → Mar 9, 2002
Gibraltar Securities Co.
Florham Park, NJ · BC capacity

Feb 10, 1998 → Sep 1, 1999
Kirlin Securities Inc.
Syosset, NY · BC capacity

Mar 25, 1997 → Jan 28, 1998
First Interregional Equity Corp.
Milburn, NJ · BC capacity

Nov 21, 1995 → May 16, 1997
Halpert And Company, Inc.
Millburn, NJ · BC capacity

Mar 22, 1984 → Nov 17, 1995

Source & corrections

Where this page comes from

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