Richard Liston Craig

CRD 1497471 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Fort Worth, TX

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 66Series 63Series 4Series 24SIESeries 7
Registered states (11): Colorado · Florida · Georgia · Indiana · Massachusetts · Minnesota · New Mexico · North Carolina · Ohio · Oklahoma · Texas
Years in the industry (source record): 40
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 (11)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Fort Worth, TX · IA capacity

Oct 5, 2007 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Fort Worth, TX · BC capacity

start not retrieved → present
Wells Fargo Investments, LLC
IA capacity

Jan 27, 2005 → Oct 11, 2007
Wells Fargo Investments, LLC
BD capacity

Jan 4, 2005 → Oct 11, 2007
Richard L. Craig & Co.
BD capacity

May 16, 1997 → Dec 21, 2005
Brokers Transaction Services, Inc.
BD capacity

Feb 19, 1997 → May 16, 1997
Fimi Securities, Inc.
BD capacity

Jan 3, 1996 → Mar 5, 1997
Norwest Investment Services, Inc.
BD capacity

Jan 30, 1997 → Feb 18, 1997
Wilson Craig Stephenson Kyle, Inc.
BD capacity

May 29, 1990 → Jan 16, 1996
Capital Investment Managers, Inc.
BD capacity

May 19, 1987 → May 25, 1990
University Partners Investment Corp.
BD capacity

Jul 23, 1986 → Mar 30, 1987

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 1497471 ↗ FINRA BrokerCheck record for CRD 1497471 ↗ 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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