Russel J Upton

CRD 2095202 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Rancho Santa Fe, CA

IA RegisteredBroker

Also appears in the source record as: Rssel James Upton; Russ Upton; Russel James Upton Mr.; Russel James Upton

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 66SIESeries 31Series 7Series 6
Registered states (22): Arizona · California · Colorado · District Of Columbia · Florida · Georgia · Hawaii · Kentucky · Massachusetts · Michigan · Nevada · New Jersey · New Mexico · New York · Oregon · Tennessee · Texas · Utah · Virginia · Washington · 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 (10)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Rancho Santa Fe, CA · IA capacity

Apr 10, 2012 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Rancho Santa Fe, CA · BC capacity

start not retrieved → present
City National Securities, Inc.
BD capacity

Dec 10, 2009 → Jan 12, 2012
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Oct 23, 2009 → Nov 30, 2009
Merrill Lynch, Pierce, Fenner & Smith Incorporated
IA capacity

Oct 23, 2009 → Nov 30, 2009
Banc Of America Investment Services, Inc.
BD capacity

Mar 21, 2007 → Oct 23, 2009
Banc Of America Investment Services, Inc.
IA capacity

Mar 21, 2007 → Oct 23, 2009
Merrill Lynch Pierce Fenner & Smith Inc.
IA capacity

Nov 19, 2001 → Mar 21, 2007
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Oct 4, 2001 → Mar 21, 2007
Amev Investors, Inc.
BD capacity

Sep 24, 1990 → Oct 17, 1990

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2095202 ↗ FINRA BrokerCheck record for CRD 2095202 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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