Luigi Ricciardi

CRD 2062161 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · New York, NY

Broker

Also appears in the source record as: Luigi J Ricciardi; Luigi Ricciardi

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Not registered in this capacity
Exams passed (6): SIESeries 7Series 10Series 9Series 4Series 63
Registered states (1): New York
Years in the industry (source record): 30
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
New York, NY · BC capacity

start not retrieved → present
Merrill Lynch Professional Clearing Corp.
New York, NY · BC capacity

Oct 15, 2020 → Dec 8, 2020
Goldman Sachs & Co. LLC
New York, NY · BC capacity

Feb 17, 2004 → May 29, 2019
Oppenheimer & Co. Inc.
New York, NY · BC capacity

Jan 3, 2003 → Feb 13, 2004
Cibc World Markets Corp.
New York, NY · BC capacity

Jul 6, 2000 → Jan 3, 2003
Gruntal & Co., L.L.C.
New York, NY · BC capacity

Oct 14, 1997 → Jul 6, 2000
Smith Barney Inc.
New York, NY · BC capacity

Oct 23, 1995 → Oct 22, 1997

Source & corrections

Where this page comes from

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