Barry William Smith

CRD 2001655 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Houston, TX

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 65Series 63Series 9SIESeries 31Series 7
Registered states (28): Arizona · Arkansas · California · Colorado · Connecticut · Delaware · Florida · Georgia · Hawaii · Illinois · Kansas · Louisiana · Massachusetts · Michigan · Missouri · Montana · Nevada · New Mexico · New York · North Carolina · Ohio · Oklahoma · Oregon · Pennsylvania · South Carolina · Texas · 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 (7)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Houston, TX · IA capacity

Dec 18, 1997 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Houston, TX · BC capacity

start not retrieved → present
Spires Financial, L.P.
BD capacity

Nov 20, 1996 → Nov 4, 1997
Grigsby, Brandford & Co., Inc.
BD capacity

Sep 19, 1995 → Nov 11, 1996
Southwest Securities, Inc.
BD capacity

Apr 12, 1995 → Aug 24, 1995
Westcap Securities, L.P.
BD capacity

Oct 25, 1989 → Apr 24, 1995
Westcap Government Securities, Inc.
BD capacity

Oct 25, 1989 → Aug 24, 1994

Source & corrections

Where this page comes from

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