Joel David Rizzo

CRD 2145750 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · San Francisco, CA

IA RegisteredBroker

Also appears in the source record as: Joel Dave Rizzo; Joel Rizzo

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 65Series 63Series 9SIESeries 7
Registered states (17): Arizona · California · Connecticut · Florida · Hawaii · Idaho · Maryland · Minnesota · Missouri · Nevada · New Jersey · New York · North Carolina · Ohio · Oregon · Texas · Washington
Years in the industry (source record): 34
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 (20)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
San Francisco, CA · IA capacity

Oct 11, 2018 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
San Francisco, CA · BC capacity

start not retrieved → present
Wells Fargo Clearing Services, LLC
BD capacity

Jan 3, 2011 → Oct 9, 2018
Wells Fargo Clearing Services, LLC
IA capacity

Jan 3, 2011 → Oct 9, 2018
Wells Fargo Investments, LLC
BD capacity

Oct 29, 2004 → Jan 3, 2011
Wells Fargo Investments, LLC
IA capacity

Oct 29, 2004 → Jan 3, 2011
Mony Securities Corporation
IA capacity

Jan 7, 2003 → Nov 7, 2003
Mony Securities Corporation
BD capacity

Dec 20, 2002 → Nov 7, 2003
Rsm Mcgladrey, Inc.
IA capacity

Oct 17, 2002 → Nov 8, 2002
H&r Block Financial Advisors, Inc.
BD capacity

Mar 4, 2002 → Nov 7, 2002
Ubs Painewebber Inc.
BD capacity

Dec 17, 1999 → Nov 16, 2001
Investec Ernst & Company
BD capacity

Jun 1, 1999 → Nov 17, 1999
Stuart, Coleman & Co., Inc.
BD capacity

May 19, 1998 → Jun 1, 1999
Gkn Securities Corp.
BD capacity

Dec 4, 1996 → May 19, 1998
Investors Associates, Inc.
BD capacity

Jun 24, 1996 → May 28, 1997
Barington Capital Group, L.P.
BD capacity

Mar 14, 1995 → May 17, 1996
Oscar Gruss & Son, Incorporated
BD capacity

Apr 15, 1993 → Apr 5, 1994
Prudential Securities Incorporated
BD capacity

Oct 28, 1992 → Apr 15, 1993
Lehman Brothers Inc.
BD capacity

Jul 21, 1992 → Oct 2, 1992
Berkeley Securities Corporation
BD capacity

Apr 10, 1992 → Jul 8, 1992

Source & corrections

Where this page comes from

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