Douglas Benson Cochran

CRD 2154121 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · La Jolla, CA

IA RegisteredBroker

Also appears in the source record as: Doug Cochran

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 66Series 63SIESeries 31Series 7Series 22
Registered states (28): Arizona · Arkansas · California · Colorado · Connecticut · Delaware · Florida · Georgia · Idaho · Illinois · Kansas · Louisiana · Maine · Massachusetts · Minnesota · Nevada · New Jersey · New Mexico · New York · North Carolina · Ohio · Oregon · Tennessee · Texas · Utah · Virginia · Washington · Wisconsin
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 2154121 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 (12)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
La Jolla, CA · IA capacity

May 22, 2025 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
La Jolla, CA · BC capacity

start not retrieved → present
Morgan Stanley
BD capacity

Jun 1, 2009 → May 30, 2025
Morgan Stanley
IA capacity

Jun 1, 2009 → May 30, 2025
Morgan Stanley & Co. Incorporated
BD capacity

Apr 2, 2007 → Jun 1, 2009
Morgan Stanley & Co. Incorporated
IA capacity

Apr 2, 2007 → Jun 1, 2009
Morgan Stanley
IA capacity

Oct 10, 2006 → Apr 2, 2007
Morgan Stanley Dw Inc.
BD capacity

Oct 9, 2006 → Apr 2, 2007
Citigroup Global Markets Inc.
IA capacity

Mar 22, 2001 → Oct 12, 2006
Citigroup Global Markets Inc.
BD capacity

Jan 27, 2000 → Oct 12, 2006
M.L. Stern & Co., LLC.
BD capacity

Sep 24, 1992 → Feb 2, 2000
Pacific Capital Partners, Inc.
BD capacity

Aug 7, 1991 → Jul 24, 1992

Source & corrections

Where this page comes from

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