Howard David Schwartz

CRD 2022010 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Baltimore, MD

IA RegisteredBroker

Also appears in the source record as: Howard D Schwartz; Howard Schwartz

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): Series 66SIESeries 7Series 3
Registered states (8): Delaware · District Of Columbia · Florida · Maryland · New York · South Carolina · Virginia · West Virginia
Years in the industry (source record): 19
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
Baltimore, MD · IA capacity

Jul 10, 2018 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Baltimore, MD · BC capacity

start not retrieved → present
Bb&t Investment Services, Inc.
BD capacity

Jan 28, 2009 → Apr 20, 2010
Bb&t Investment Services, Inc.
IA capacity

Jan 27, 2009 → Apr 20, 2010
Bb&t Investment Services, Inc.
BD capacity

Jul 7, 2008 → Dec 31, 2008
Bb&t Investment Services, Inc.
IA capacity

Jul 7, 2008 → Dec 31, 2008
Goldman, Sachs & Co.
BD capacity

Jun 5, 2007 → Apr 24, 2008

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2022010 ↗ FINRA BrokerCheck record for CRD 2022010 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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