David Finci

CRD 1763575 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · San Francisco, CA

IA RegisteredBroker

Also appears in the source record as: David Finci

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (9): SIESeries 31Series 55Series 7Series 10Series 9Series 4Series 65Series 63
Registered states (9): California · Colorado · Connecticut · Florida · Massachusetts · New Jersey · New York · North Carolina · Ohio
Years in the industry (source record): 36
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 (17)

From the source registration record · current first

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

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
San Francisco, CA · BC capacity

start not retrieved → present
Morgan Stanley
Cupertino, CA · IA capacity

Jun 1, 2009 → Apr 14, 2014
Morgan Stanley
Cupertino, CA · BC capacity

Jun 1, 2009 → Apr 14, 2014
Morgan Stanley & Co. Incorporated
Cupertino, CA · IA capacity

Apr 2, 2007 → Jun 1, 2009
Morgan Stanley & Co. Incorporated
Cupertino, CA · BC capacity

Apr 2, 2007 → Jun 1, 2009
Morgan Stanley
Cupertino, CA · IA capacity

Mar 16, 2007 → Apr 2, 2007
Morgan Stanley Dw Inc.
Cupertino, CA · BC capacity

Mar 16, 2007 → Apr 2, 2007
Citigroup Global Markets Inc.
San Francisco, CA · IA capacity

Oct 2, 2001 → Mar 26, 2007
Citigroup Global Markets Inc.
San Francisco, CA · BC capacity

Jan 19, 2001 → Mar 26, 2007
Andover Brokerage, L.L.C.
Montebello, NY · BC capacity

Dec 4, 1998 → Jan 22, 2001
Neptune Securities Finance, LLC
New York, NY · BC capacity

May 12, 1998 → Sep 2, 1998
Citicorp Securities, Inc.
New York, NY · BC capacity

Oct 23, 1993 → Sep 1, 1998
Citicorp Investment Services
Long Island City, NY · BC capacity

Jun 1, 1992 → Aug 5, 1993
Citicorp Financial Services,inc.
BC capacity

May 10, 1990 → Jun 1, 1992
The Stuart-James Company, Incorporated
BC capacity

Oct 31, 1988 → May 9, 1989
Hamilton, Grant & Company, Inc.
BC capacity

Dec 10, 1987 → Apr 28, 1988

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.

SEC IAPD record for CRD 1763575 ↗ FINRA BrokerCheck record for CRD 1763575 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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