Matthew Stephen Prepelka

CRD 2094704 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Upper Saint Clair, PA

IA RegisteredBroker

Also appears in the source record as: Matthew S Prepelka

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): Series 65Series 63Series 10Series 9SIESeries 7Series 6
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 36
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 (15)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Upper Saint Clair, PA · IA capacity

Dec 26, 2019 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Upper Saint Clair, PA · BC capacity

start not retrieved → present
Ubs Financial Services Inc.
IA capacity

Sep 7, 2012 → Jun 26, 2019
Ubs Financial Services Inc.
BD capacity

Dec 18, 2007 → Jun 26, 2019
Ubs Financial Services Inc.
IA capacity

Dec 18, 2007 → Jun 9, 2009
Financial Network Investment Corporation
IA capacity

Jul 11, 2007 → Dec 20, 2007
Financial Network Investment Corporation
BD capacity

Nov 8, 2006 → Dec 20, 2007
Savesimply Advisors, Inc.
IA capacity

Aug 22, 2005 → Dec 31, 2006
Columbia Management Advisors, Inc.
IA capacity

Sep 2, 2004 → Mar 17, 2005
Columbia Funds Distributor, Inc.
BD capacity

Jun 21, 2004 → Mar 17, 2005
Bacap Distributors, LLC
BD capacity

Jan 1, 2003 → Jun 21, 2004
Stephens Inc.
IA capacity

Jun 4, 2002 → Jan 1, 2003
Stephens Inc.
BD capacity

Apr 28, 1999 → Jan 1, 2003
Goldman, Sachs & Co.
BD capacity

Aug 8, 1997 → May 20, 1999
Federated Securities Corp.
BD capacity

Sep 27, 1990 → Aug 1, 1997

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2094704 ↗ FINRA BrokerCheck record for CRD 2094704 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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