Sonia Magdalena Yearian

CRD 1913166 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Santa Monica, CA

IA RegisteredBroker

Also appears in the source record as: Sonia Loza; Loza Mendez; Sonia M Mendez; Sonia Magdalena Mendez; Sonia Magdalena Pimentel; Sonia M Yearian

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): Series 66Series 63SIESeries 7
Registered states (34): Alaska · Arizona · Arkansas · California · Colorado · Connecticut · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Iowa · Louisiana · Maryland · Massachusetts · Nebraska · Nevada · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oregon · Pennsylvania · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Virginia · Washington · West Virginia
Years in the industry (source record): 32
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 (9)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Santa Monica, CA · IA capacity

May 3, 2011 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Santa Monica, CA · BC capacity

start not retrieved → present
Deutsche Bank Securities Inc.
IA capacity

May 8, 2008 → May 10, 2011
Deutsche Bank Securities Inc.
BD capacity

Jan 13, 2001 → May 10, 2011
Db Alex. Brown LLC
BD capacity

Apr 25, 1999 → Jan 13, 2001
Prudential Securities Incorporated
BD capacity

Jun 2, 1997 → Mar 2, 1999
Cantor Fitzgerald & Co.
BD capacity

Jul 9, 1996 → Jul 19, 1996
Pruco Securities Corporation
BD capacity

Aug 1, 1995 → Feb 1, 1996
Oppenheimer & Co., Inc.
BD capacity

Feb 9, 1994 → Jun 20, 1995

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 1913166 ↗ FINRA BrokerCheck record for CRD 1913166 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: IAPD_SEARCH. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.