Joseph Lavalle

CRD 1355858 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Boulder, CO

IA RegisteredBroker

Also appears in the source record as: Big Joe Lavalle; Joe Lavalle; Joseph M Lavalle; Joseph Michael Lavalle; Joseph Lavalle

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 (2): Colorado · Massachusetts
Years in the industry (source record): 41
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 1355858 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 (11)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Boulder, CO · IA capacity

Aug 9, 2019 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Boulder, CO · BC capacity

start not retrieved → present
Rbc Capital Markets, LLC
BD capacity

Sep 12, 2003 → Aug 20, 2019
Rbc Capital Markets, LLC
IA capacity

Sep 12, 2003 → Aug 20, 2019
Morgan Stanley
IA capacity

Jun 18, 1999 → Sep 15, 2003
Morgan Stanley Dw Inc.
BD capacity

Nov 13, 1998 → Sep 15, 2003
Painewebber Incorporated
BD capacity

May 4, 1994 → Dec 2, 1998
Everen Securities, Inc.
BD capacity

Sep 4, 1990 → May 10, 1994
Boettcher & Company, Inc.
BD capacity

Aug 5, 1988 → Sep 4, 1990
Dean Witter Reynolds Inc.
BD capacity

Nov 1, 1985 → Aug 20, 1988
Wall Street West, Inc.
BD capacity

Apr 23, 1985 → Sep 27, 1985

Source & corrections

Where this page comes from

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