Rufus Alston Roberts

CRD 2134494 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Dallas, TX

IA RegisteredBroker

Also appears in the source record as: Alston Roberts III; Alston Roberts; R Alston Roberts; R. Alston Roberts

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (11): Series 65Series 63Series 9Series 10Series 53Series 4Series 24Series 52TOSeries 72SIESeries 7
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): 35
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 2134494 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 (16)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Dallas, TX · IA capacity

Feb 8, 2023 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Dallas, TX · BC capacity

start not retrieved → present
Morgan Stanley
IA capacity

May 6, 2015 → Nov 17, 2022
Morgan Stanley
BD capacity

May 5, 2015 → Nov 17, 2022
Bbva Wealth Solutions Inc.
IA capacity

Jan 30, 2014 → Dec 3, 2014
Bbva Securities Inc.
BD capacity

Jan 3, 2014 → Dec 3, 2014
Usaa Financial Planning Services
IA capacity

Jun 4, 2012 → Dec 9, 2013
Usaa Financial Advisors, Inc.
BD capacity

May 17, 2012 → Dec 9, 2013
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Oct 23, 2009 → Jan 3, 2012
Merrill Lynch, Pierce, Fenner & Smith Incorporated
IA capacity

Oct 23, 2009 → Jan 3, 2012
Banc Of America Investment Services, Inc.
BD capacity

Jan 1, 1998 → Oct 23, 2009
Banc Of America Investment Services, Inc.
IA capacity

Jan 1, 1998 → Oct 23, 2009
Ba Investment Services, Inc.
BD capacity

Mar 19, 1999 → Jul 12, 1999
Nationssecurities
BD capacity

Jun 7, 1993 → Jan 1, 1998
Nationsbanc Securities, Inc.
BD capacity

Aug 3, 1992 → Jun 7, 1993
Dean Witter Reynolds Inc.
BD capacity

May 2, 1991 → Jul 31, 1992

Source & corrections

Where this page comes from

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