Scott A Levaggi

CRD 1362507 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · San Mateo, CA

IA RegisteredBroker

Also appears in the source record as: Scott Andrew Levaggi; Scott Levaggi

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (11): Series 66Series 63Series 4Series 10Series 9Series 24Series 57TOSIESeries 31Series 55Series 7
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): 33
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
San Mateo, CA · IA capacity

Jan 8, 2010 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
San Mateo, CA · BC capacity

start not retrieved → present
Morgan Stanley & Co. Incorporated
BD capacity

Apr 27, 2007 → Nov 5, 2008
Allstate Financial Services, LLC
BD capacity

Sep 16, 2005 → Apr 30, 2007
Citigroup Global Markets Inc.
BD capacity

Dec 9, 2004 → Jun 6, 2005
Knight Execution Partners LLC
BD capacity

Apr 11, 2003 → Dec 9, 2004
W.R. Hambrecht + Co., LLC
BD capacity

Mar 14, 2001 → Jul 23, 2001
Sg Cowen Securities Corporation
BD capacity

Jul 1, 1998 → Mar 16, 2001
Cowen & Co.
BD capacity

Jun 19, 1998 → Jul 1, 1998
Cowen & Co.
BD capacity

Aug 18, 1993 → Oct 23, 1996

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 1362507 ↗ FINRA BrokerCheck record for CRD 1362507 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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

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