Paul Charles Santucci

CRD 1301776 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Florham Park, NJ

IA RegisteredBroker

Also appears in the source record as: Paul Santucci

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): SIESeries 7Series 10Series 9Series 24Series 8Series 65Series 63
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 41
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

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 (10)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Far Hills, NJ · IA capacity

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

start not retrieved → present
Ubs Financial Services Inc.
Weehawken, NJ · IA capacity

Nov 3, 2005 → Aug 17, 2022
Ubs Financial Services Inc.
Weehawken, NJ · BC capacity

Sep 22, 2003 → Aug 17, 2022
Wachovia Securities, LLC
St. Louis, MO · BC capacity

Jul 1, 2003 → Sep 26, 2003
Prudential Securities Incorporated
New York, NY · BC capacity

Nov 11, 1999 → Jul 1, 2003
Salomon Smith Barney Inc.
New York, NY · BC capacity

Jul 31, 1993 → Nov 11, 1999
Lehman Brothers Inc.
New York, NY · BC capacity

Feb 15, 1988 → Jul 31, 1993
E. F. Hutton & Company Inc
BC capacity

Sep 30, 1987 → Feb 15, 1988
Kidder, Peabody & Co. Incorporated
BC capacity

Sep 24, 1984 → Oct 1, 1987

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 1301776 ↗ FINRA BrokerCheck record for CRD 1301776 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.