Richard Mark Scafa

CRD 1447115 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Henderson, NV

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): Series 31SIESeries 7Series 9Series 10Series 8Series 66Series 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): 39
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 (12)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Henderson, NV · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Henderson, NV · BC capacity

start not retrieved → present
Transamerica Financial Advisors, Inc
Las Vegas, NV · BC capacity

Jul 2, 2015 → Oct 8, 2015
Morgan Stanley
Las Vegas, NV · BC capacity

Nov 4, 2011 → Oct 6, 2014
Wells Fargo Advisors, LLC
San Diego, CA · IA capacity

Oct 26, 2010 → Oct 3, 2011
Wells Fargo Advisors, LLC
San Diego, CA · BC capacity

Apr 18, 1994 → Oct 3, 2011
Barron Chase Securities, Inc.
Boca Raton, FL · BC capacity

Nov 1, 1993 → Apr 11, 1994
Chatfield Dean & Co., Inc.
Greenwood Village, CO · BC capacity

Apr 21, 1992 → Oct 29, 1993
Lehman Brothers Inc.
New York, NY · BC capacity

May 14, 1988 → May 1, 1992
E. F. Hutton & Company Inc
BC capacity

Jan 1, 1988 → May 14, 1988
Integrated Resources Equity Corporation
BC capacity

May 7, 1987 → Nov 5, 1987
John Hancock Distributors, Inc.
BC capacity

Jul 29, 1986 → May 29, 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 1447115 ↗ FINRA BrokerCheck record for CRD 1447115 ↗ 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.