Michael A Marziotto

CRD 1847685 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Smithtown, NY

IA RegisteredBroker

Also appears in the source record as: Michael Anthony Marziotto; Michael Marziotto

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 7TOSIESeries 6Series 65Series 63
Registered states (21): Arizona · California · Colorado · Connecticut · District Of Columbia · Florida · Illinois · Iowa · Louisiana · Maryland · Massachusetts · Michigan · New Jersey · New York · North Carolina · Pennsylvania · South Carolina · Tennessee · Texas · Vermont · Virginia
Years in the industry (source record): 37
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 (14)

From the source registration record · current first

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

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Smithtown, NY · BC capacity

start not retrieved → present
Citigroup Global Markets Inc.
Commack, NY · IA capacity

Sep 11, 2017 → Aug 16, 2021
Citigroup Global Markets Inc.
Commack, NY · BC capacity

Jul 11, 2017 → Aug 16, 2021
J.P. Morgan Securities LLC
Islip, NY · IA capacity

Jul 12, 2016 → Jul 21, 2017
J.P. Morgan Securities LLC
Islip, NY · BC capacity

May 25, 2016 → Jul 21, 2017
Sandlapper Wealth Management, LLC
Syosset, NY · IA capacity

Dec 2, 2015 → May 17, 2016
Sandlapper Securities, LLC
Greenville, SC · BC capacity

Dec 2, 2015 → May 6, 2016
Capital Investment Advisory Services, LLC
Syosset, NY · IA capacity

Jul 15, 2014 → Jul 16, 2015
Capital Investment Group, Inc.
Syosset, NY · BC capacity

May 7, 2014 → Jul 16, 2015
Park Avenue Securities LLC
Woodbury, NY · BC capacity

May 3, 1999 → May 14, 2014
Guardian Investor Services Corporation
New York, NY · BC capacity

Mar 17, 1997 → May 3, 1999
Pruco Securities Corporation
Newark, NJ · BC capacity

Jul 26, 1988 → Mar 7, 1997
The Prudential Insurance Company Of America
Newark, NJ · BC capacity

Jul 26, 1988 → Dec 10, 1993

Source & corrections

Where this page comes from

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