Carmine Pezzella

CRD 1762559 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Wayne, PA

IA RegisteredBroker

Also appears in the source record as: Carmine Pezzella Jr; Carmine Pezzella Jr.

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): Series 65Series 63Series 24Series 10Series 9SIESeries 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): 32
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 1762559 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
Wayne, PA · IA capacity

May 12, 2015 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Wayne, PA · BC capacity

start not retrieved → present
Morgan Stanley
BD capacity

Jan 9, 2013 → Mar 23, 2015
Boenning & Scattergood, Inc.
BD capacity

Aug 24, 2010 → Feb 27, 2012
Hightower Securities, LLC
BD capacity

Oct 29, 2009 → Aug 16, 2010
Hightower Advisors, LLC
IA capacity

Oct 13, 2009 → Aug 16, 2010
Donnelly Steen & Company
IA capacity

May 6, 2009 → Nov 3, 2009
Ubs Financial Services Inc.
IA capacity

Oct 12, 2006 → Dec 31, 2008
Ubs Financial Services Inc.
BD capacity

Sep 16, 1997 → Dec 31, 2008
Dean Witter Reynolds Inc.
BD capacity

Apr 25, 1995 → Sep 15, 1997
Painewebber Incorporated
BD capacity

Jan 28, 1995 → May 11, 1995
Kidder, Peabody & Co. Incorporated
BD capacity

Dec 12, 1994 → Jan 28, 1995

Source & corrections

Where this page comes from

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