Rial Allen Barnett

CRD 1906698 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Newport Beach, CA

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): Series 65Series 63Series 4Series 24SIESeries 31Series 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): 38
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 1906698 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
Newport Beach, CA · IA capacity

Dec 8, 2008 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Newport Beach, CA · BC capacity

start not retrieved → present
Morgan Stanley & Co. Incorporated
BD capacity

Apr 2, 2007 → Dec 9, 2008
Morgan Stanley & Co. Incorporated
IA capacity

Apr 2, 2007 → Dec 9, 2008
Morgan Stanley Dw Inc.
BD capacity

Dec 12, 2002 → Apr 2, 2007
Morgan Stanley
IA capacity

Dec 12, 2002 → Apr 2, 2007
J. P. Morgan Securities Inc.
IA capacity

Mar 13, 2000 → Nov 7, 2002
J.P. Morgan Securities Inc.
BD capacity

Feb 1, 2000 → Nov 7, 2002
Hambrecht & Quist LLC
BD capacity

Aug 20, 1997 → Feb 1, 2000
Cruttenden Roth Incorporated
BD capacity

Aug 9, 1994 → Aug 19, 1997
Dickinson & Co.
BD capacity

Jul 15, 1992 → Aug 1, 1994
J. W. Gant & Associates, Inc.
BD capacity

Dec 20, 1988 → Jul 27, 1992

Source & corrections

Where this page comes from

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