Steven L Rodriguez

CRD 2175225 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Los Angeles, CA

IA RegisteredBroker

Also appears in the source record as: Steven Leon Rodriguez

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 65Series 63SIESeries 3Series 7
Registered states (18): Arizona · California · Colorado · Connecticut · Florida · Idaho · Illinois · Massachusetts · Nevada · New York · North Carolina · Ohio · Oklahoma · Oregon · Tennessee · Texas · Virginia · Washington
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 2175225 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
Los Angeles, CA · IA capacity

Oct 23, 2009 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Los Angeles, CA · BC capacity

start not retrieved → present
Banc Of America Investment Services, Inc.
BD capacity

Oct 20, 2004 → Oct 23, 2009
Banc Of America Investment Services, Inc.
IA capacity

Oct 20, 2004 → Oct 23, 2009
Quick & Reilly, Inc.
IA capacity

Oct 3, 2002 → Oct 20, 2004
Quick & Reilly, Inc.
BD capacity

Oct 12, 2001 → Oct 20, 2004
Prudential Securities Incorporated
BD capacity

Sep 25, 1998 → Oct 19, 2001
Painewebber Incorporated
BD capacity

Jan 7, 1994 → Sep 24, 1998
Smith Barney Shearson Inc.
BD capacity

Jul 31, 1993 → Jan 14, 1994
Lehman Brothers Inc.
BD capacity

Dec 2, 1991 → Jul 31, 1993

Source & corrections

Where this page comes from

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