Kenneth A Gatto

CRD 1823980 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Melville, NY

IA RegisteredBroker

Also appears in the source record as: Ken Gatto; Kenneth Andrew Gatto

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 65Series 63Series 8SIESeries 31Series 7
Registered states (37): Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Nebraska · Nevada · New Hampshire · New Jersey · New York · North Carolina · Ohio · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · Tennessee · Texas · Vermont · Virginia · Washington · West Virginia
Years in the industry (source record): 38
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 1823980 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 (8)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Melville, NY · IA capacity

Mar 24, 2016 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Melville, NY · BC capacity

start not retrieved → present
Morgan Stanley
BD capacity

Jun 1, 2009 → Apr 11, 2016
Morgan Stanley
IA capacity

Jun 1, 2009 → Apr 11, 2016
Morgan Stanley & Co. Incorporated
IA capacity

Apr 11, 2008 → Jun 1, 2009
Morgan Stanley & Co. Incorporated
BD capacity

Feb 22, 2008 → Jun 1, 2009
Citigroup Global Markets Inc.
BD capacity

Jul 31, 1993 → Mar 6, 2008
Lehman Brothers Inc.
BD capacity

May 25, 1988 → Jul 31, 1993

Source & corrections

Where this page comes from

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