Douglas Cowles

CRD 1967614 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Los Angeles, CA

IA RegisteredBroker

Also appears in the source record as: Douglas Ray Cowles

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 66Series 63Series 4SIESeries 7
Registered states (38): Alabama · Alaska · Arizona · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Louisiana · Maine · Massachusetts · Michigan · Minnesota · Montana · Nevada · New Jersey · New Mexico · New York · North Carolina · Ohio · Oregon · Pennsylvania · Rhode Island · South Carolina · Tennessee · Texas · Utah · Vermont · Virginia · Washington · Wisconsin · Wyoming
Years in the industry (source record): 37
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 1967614 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 (8)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Los Angeles, CA · IA capacity

Oct 23, 2009 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Los Angeles, CA · BC capacity

start not retrieved → present
Banc Of America Investment Services, Inc.
IA capacity

May 14, 2002 → Oct 23, 2009
Banc Of America Investment Services, Inc.
BD capacity

Apr 12, 1999 → Oct 23, 2009
Nationsbanc Montgomery Securities LLC
BD capacity

Oct 26, 1998 → Apr 12, 1999
Atlas Securities, Inc.
BD capacity

Mar 4, 1993 → Oct 29, 1998
Ba Investment Services, Inc.
BD capacity

Nov 14, 1989 → May 13, 1993
Seafirst Investment Services, Inc.
BD capacity

Jan 24, 1992 → Apr 14, 1993

Source & corrections

Where this page comes from

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