Joseph Brian Kelly

CRD 1975762 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Northbrook, IL

IA RegisteredBroker

Also appears in the source record as: Joe Kelly

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): SIESeries 7Series 63Series 65
Registered states (9): Arizona · California · Florida · Illinois · Michigan · North Carolina · Ohio · Utah · Wisconsin
Years in the industry (source record): 36
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 1975762 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
Northbrook, IL · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Northbrook, IL · BC capacity

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

Aug 6, 2007 → Oct 23, 2009
Banc Of America Investment Services, Inc.
Winnetka, IL · BC capacity

Feb 16, 2007 → Oct 23, 2009
Wachovia Securities, LLC
West Bloomfield, MI · BC capacity

Jul 1, 2003 → Feb 21, 2007
Prudential Securities Incorporated
New York, NY · BC capacity

Nov 5, 1993 → Jul 1, 2003
Painewebber Incorporated
Weehawken, NJ · BC capacity

Sep 20, 1991 → Oct 27, 1993
Kidder, Peabody & Co. Incorporated
New York, NY · BC capacity

Sep 19, 1989 → Oct 1, 1990

Source & corrections

Where this page comes from

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