Michael Francis Shoaf

CRD 2131414 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · West Hartford, CT

IA RegisteredBroker

Also appears in the source record as: Michael Shoaf; Mike Shoaf

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): Series 66Series 63Series 24Series 7TOSIESeries 7Series 6
Registered states (5): Alaska · California · Colorado · Connecticut · Nevada
Years in the industry (source record): 35
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 2131414 contains one or more disclosure events as of Aug 20, 2026.

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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
West Hartford, CT · IA capacity

Sep 30, 2025 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
West Hartford, CT · BC capacity

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

Apr 17, 2019 → Oct 10, 2025
Ubs Financial Services Inc.
BD capacity

Apr 1, 2019 → Oct 10, 2025
Charles Schwab & Co., Inc.
IA capacity

Jan 10, 2007 → Jul 22, 2010
Charles Schwab & Co., Inc.
BD capacity

Dec 18, 2006 → Jul 22, 2010
Fidelity Brokerage Services LLC
BD capacity

Jun 30, 1999 → Mar 16, 2005
American Skandia Marketing, Inc.
BD capacity

Sep 13, 1996 → Jun 15, 1999
The Prudential Insurance Company Of America
BD capacity

Mar 25, 1991 → Feb 21, 1992
Pruco Securities Corporation
BD capacity

Mar 25, 1991 → Feb 21, 1992

Source & corrections

Where this page comes from

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