Rafael Angel Martinez

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration

Active

Investment adviser registration

Active

Exams passed (11)

Series 65Series 63Series 9Series 10Series 4Series 24Series 8Series 72SIESeries 3Series 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)

37

Professional designations

Not yet retrieved from the source record

Disclosures

Copied from the official record

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 (19)

From the source registration record · current first

• Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent

  Atlanta, GA · IA capacity
  Feb 27, 2020 → present
• Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent

  Atlanta, GA · BC capacity
  start not retrieved → present
• J.P. Morgan Securities LLC

  BD capacity
  Jul 8, 2014 → Oct 22, 2019
• Barclays Capital Inc.

  BD capacity
  Jul 29, 2013 → Jul 9, 2014
• Barclays Capital Inc.

  IA capacity
  Jul 29, 2013 → Jul 9, 2014
• Bsp Securities, LLC

  BD capacity
  May 22, 2012 → Jul 25, 2013
• Merrill Lynch, Pierce, Fenner & Smith Incorporated

  IA capacity
  Apr 18, 2012 → May 22, 2012
• Merrill Lynch, Pierce, Fenner & Smith Incorporated

  BD capacity
  Apr 16, 2012 → May 22, 2012
• Credit Suisse Securities (USA) LLC

  IA capacity
  Jan 17, 2003 → Sep 6, 2011
• Credit Suisse Securities (USA) LLC

  BD capacity
  Jul 10, 2000 → Sep 6, 2011
• Donaldson, Lufkin & Jenrette Securities Corporation

  BD capacity
  Dec 21, 2001 → Jan 17, 2003
• Ing Barings LLC

  BD capacity
  Oct 2, 1998 → Jul 12, 2000
• Ifg Network Securities, Inc.

  BD capacity
  Dec 10, 1999 → Jul 5, 2000
• Credit Suisse First Boston Corporation

  BD capacity
  Oct 7, 1994 → Sep 16, 1998
• Fsi Financial Corporation

  BD capacity
  Aug 27, 1993 → Sep 27, 1994
• Lehman Special Securities Inc.

  BD capacity
  Dec 4, 1989 → Sep 15, 1993
• Lehman Government Securities Inc.

  BD capacity
  Dec 4, 1989 → Sep 15, 1993
• Lehman Brothers Inc.

  BD capacity
  Dec 4, 1989 → Sep 15, 1993
• Merrill Lynch, Pierce, Fenner & Smith Incorporated

  BD capacity
  Jun 23, 1989 → Oct 17, 1989

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.

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