Joseph M Shutt

CRD 2004083 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Concord, MA

IA RegisteredBroker

Also appears in the source record as: Joseph Michael Shutt

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): Series 65Series 63Series 10Series 9Series 8SIESeries 7Series 6
Registered states (10): Connecticut · Florida · Maine · Massachusetts · New Hampshire · New Jersey · New York · Rhode Island · Texas · Vermont
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 (11)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Concord, MA · IA capacity

Jan 9, 2026 → present
Newedge Advisors
IA capacity

Dec 10, 2024 → Jan 31, 2025
Voya Financial Advisors, Inc.
IA capacity

Apr 25, 2023 → Sep 19, 2024
Voya Financial Advisors, Inc.
BD capacity

Apr 24, 2023 → Sep 19, 2024
Empower Advisory Group, LLC
IA capacity

Oct 4, 2022 → Apr 13, 2023
Empower Financial Services, Inc.
BD capacity

Sep 19, 2022 → Apr 13, 2023
Fidelity Personal And Workplace Advisors
IA capacity

Jul 13, 2018 → Jul 9, 2021
Fidelity Brokerage Services LLC
BD capacity

May 25, 2006 → Jul 9, 2021
Strategic Advisers LLC
IA capacity

Jun 29, 2010 → Jul 13, 2018
Fidelity Brokerage Services LLC
BD capacity

Jan 18, 2001 → Sep 30, 2004
Fidelity Brokerage Services, Inc.
BD capacity

Nov 20, 1989 → Jun 3, 1999

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2004083 ↗ FINRA BrokerCheck record for CRD 2004083 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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