Suzanne Kathryn Castruita

CRD 1531223 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Seal Beach, CA

IA RegisteredBroker

Also appears in the source record as: Suzanne K Showalter

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): Series 63Series 65Series 9Series 10Series 8SIESeries 3Series 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 (9)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Torrance, CA · IA capacity

Sep 13, 2006 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Seal Beach, CA · BC capacity

start not retrieved → present
Wachovia Securities, LLC
BD capacity

Jul 1, 2003 → Aug 29, 2006
Wachovia Securities, LLC
IA capacity

Jul 1, 2003 → Aug 29, 2006
Prudential Securities Incorporated
IA capacity

Sep 22, 2000 → Jul 1, 2003
Prudential Securities Incorporated
BD capacity

May 10, 2000 → Jul 1, 2003
Painewebber Incorporated
BD capacity

Jan 20, 1996 → Jun 1, 2000
Smith Barney Inc.
BD capacity

Jul 31, 1993 → Jan 11, 1996
Lehman Brothers Inc.
BD capacity

Mar 22, 1993 → Jul 31, 1993

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 1531223 ↗ FINRA BrokerCheck record for CRD 1531223 ↗ 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.

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.