Rita Marie Swann

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration

Active

Investment adviser registration

Active

Exams passed (8)

Series 99TOSIESeries 7Series 10Series 9Series 24Series 65Series 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)

30

Professional designations

Not yet retrieved from the source record

Disclosures

Copied from the official record

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 (19)

From the source registration record · current first

• Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent

  The Woodlands, TX · IA capacity
  start not retrieved → present
• Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent

  The Woodlands, TX · BC capacity
  start not retrieved → present
• Morgan Stanley

  Houston, TX · IA capacity
  Mar 27, 2019 → Jul 27, 2021
• Morgan Stanley

  Houston, TX · BC capacity
  Mar 27, 2019 → Jul 27, 2021
• Next Financial Group, Inc.

  Houston, TX · IA capacity
  May 22, 2018 → Mar 12, 2019
• Next Financial Group, Inc.

  Houston, TX · BC capacity
  May 22, 2018 → Mar 12, 2019
• Transamerica Financial Advisors, Inc

  Laguna Hills, CA · BC capacity
  Nov 7, 2017 → May 23, 2018
• National Planning Corporation

  Irvine, CA · BC capacity
  May 13, 2013 → Jun 6, 2013
• Barclays Capital Inc.

  Santa Monica, CA · BC capacity
  May 5, 2010 → Sep 13, 2011
• Pershing LLC

  Los Angeles, CA · BC capacity
  Jul 30, 2007 → Apr 29, 2010
• Bear, Stearns Securities Corp.

  Los Angeles, CA · BC capacity
  Aug 16, 2001 → Jul 25, 2007
• Bear, Stearns & Co. Inc.

  Los Angeles, CA · BC capacity
  Aug 16, 2001 → Jul 25, 2007
• Financial Network Investment Corporation

  El Segundo, CA · BC capacity
  Mar 28, 2001 → Jul 16, 2001
• American Industries Retirement Securities Corporation

  Houston, TX · BC capacity
  Nov 2, 1998 → Jun 16, 1999
• Sanders Morris Mundy Inc.

  Houston, TX · BC capacity
  Dec 3, 1993 → Nov 26, 1996
• Kidder, Peabody & Co. Incorporated

  New York, NY · BC capacity
  Apr 22, 1993 → Dec 16, 1993
• Everen Securities, Inc.

  St. Louis, MO · BC capacity
  Apr 4, 1992 → Apr 23, 1993
• Painewebber Incorporated

  BC capacity
  Jun 1, 1987 → Aug 28, 1991
• Shearson Lehman Hutton Inc.

  New York, NY · BC capacity
  Mar 9, 1990 → Jun 11, 1990

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.

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