Curtis Godt

CRD 1929979 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Sacramento, CA

IA RegisteredBroker

Also appears in the source record as: Curtis Bruce Godt

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 65Series 63SIESeries 31Series 7
Registered states (10): Arizona · California · Colorado · Idaho · New York · Oregon · Texas · Utah · Virginia · Washington
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
Sacramento, CA · IA capacity

Sep 12, 2011 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Sacramento, CA · BC capacity

start not retrieved → present
Sorrento Pacific Financial, LLC
IA capacity

Mar 9, 2011 → Jul 28, 2011
Sorrento Pacific Financial, LLC
BD capacity

Mar 8, 2011 → Jul 28, 2011
Edward Jones
BD capacity

Oct 1, 2009 → Mar 8, 2011
Edward Jones
IA capacity

Oct 1, 2009 → Mar 8, 2011
Wells Fargo Investments, LLC
BD capacity

Jul 3, 2006 → Jul 24, 2009
Wells Fargo Investments, LLC
IA capacity

Jul 3, 2006 → Jul 24, 2009
Piper Jaffray & Co.
IA capacity

Jul 6, 2000 → Jul 10, 2006
Piper Jaffray & Co.
BD capacity

Dec 5, 1995 → Jul 10, 2006
Essex National Securities, Inc.
BD capacity

Mar 30, 1995 → Oct 2, 1995
First Interstate Investments,inc.
BD capacity

May 13, 1994 → Sep 28, 1995
Kidder, Peabody & Co. Incorporated
BD capacity

Feb 25, 1993 → Jan 28, 1994
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Mar 21, 1989 → Mar 1, 1993

Source & corrections

Where this page comes from

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