Amy Schwenzfeier Roberts

CRD 2170658 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Providence, RI

IA RegisteredBroker

Also appears in the source record as: Amy S Roberts; Amy Roberts; Amy M Schwenzfeier; Amy Schwenzfeier

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): SIESeries 7Series 24Series 66Series 63
Registered states (2): Massachusetts · Rhode Island
Years in the industry (source record): 27
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
Providence, RI · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Providence, RI · BC capacity

start not retrieved → present
Columbia Management Investment Advisers, LLC
Boston, MA · IA capacity

May 1, 2010 → May 16, 2017
Columbia Management Investment Distributors, Inc.
Boston, MA · BC capacity

May 1, 2010 → May 16, 2017
Columbia Management Advisors, LLC
Boston, MA · IA capacity

Oct 21, 2009 → May 1, 2010
Columbia Management Distributors, Inc.
Boston, MA · BC capacity

Nov 29, 2005 → May 1, 2010
Banc Of America Securities LLC
New York, NY · BC capacity

Apr 1, 2004 → Aug 18, 2005
Fleet Securities, Inc.
Dallas, TX · BC capacity

Jul 25, 2002 → Apr 1, 2004
Fleetboston Robertson Stephens Inc.
San Francisco, CA · BC capacity

Feb 13, 1997 → Sep 5, 2000
Citicorp Securities Markets, Inc.
New York, NY · BC capacity

Sep 30, 1991 → Aug 13, 1992

Source & corrections

Where this page comes from

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