Robin M Rocha

CRD 1303031 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Napa, CA

IA RegisteredBroker

Also appears in the source record as: Robin Rocha Krill; Robin Krill; Robin Marie Rocha; Robin M Rocha-Krill

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): Series 65Series 63SIESeries 7
Registered states (20): Arizona · California · Colorado · Connecticut · Florida · Idaho · Michigan · Minnesota · Montana · New Jersey · New Mexico · New York · North Carolina · Ohio · Oregon · Rhode Island · Tennessee · Texas · Virginia · Washington
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 1303031 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 (8)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Napa, CA · IA capacity

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

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

Jul 12, 1999 → Oct 23, 2009
Banc Of America Investment Services, Inc.
IA capacity

May 12, 1998 → Oct 23, 2009
Ba Investment Services, Inc.
BD capacity

May 30, 1992 → Jul 12, 1999
Gna Securities, Inc.
BD capacity

Sep 14, 1989 → Jun 30, 1992
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Dec 19, 1985 → Jul 27, 1988
First Jersey Securities, Inc.
BD capacity

Sep 24, 1984 → Dec 10, 1985

Source & corrections

Where this page comes from

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