Gregory Ferdinand

CRD 1455681 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Garden City, NY

IA RegisteredBroker

Also appears in the source record as: Gregory Malcolm Ferdinand; Gregory Ferdinand

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 (6): Colorado · New Jersey · New York · North Carolina · Pennsylvania · Texas
Years in the industry (source record): 35
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 1455681 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 (12)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Garden City, NY · IA capacity

Mar 19, 2021 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Garden City, NY · BC capacity

start not retrieved → present
J.P. Morgan Securities LLC
BD capacity

Feb 6, 2015 → Mar 24, 2021
J.P. Morgan Securities LLC
IA capacity

Feb 6, 2015 → Mar 24, 2021
Ameriprise Financial Services, Inc.
BD capacity

Oct 5, 2009 → Feb 10, 2015
Ameriprise Financial Services, Inc.
IA capacity

Oct 5, 2009 → Feb 10, 2015
Ameriprise Advisor Services, Inc.
IA capacity

Apr 8, 2009 → Oct 5, 2009
Ameriprise Advisor Services, Inc.
BD capacity

Mar 27, 2009 → Oct 5, 2009
Oppenheimer & Co. Inc.
IA capacity

Oct 3, 2006 → Apr 2, 2009
Oppenheimer & Co. Inc.
BD capacity

Jun 9, 2006 → Apr 2, 2009
Citigroup Global Markets Inc.
BD capacity

Nov 21, 1994 → Jun 19, 2006
Painewebber Incorporated
BD capacity

Aug 21, 1991 → Jan 6, 1995

Source & corrections

Where this page comes from

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