Patricia Sarabia Wenzel

CRD 2208651 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Houston, TX

IA RegisteredBroker

Also appears in the source record as: Pat Sarabia; Patricia Maria Sarabia; Tricia Sarabia; Pat Wenzel; Patricia Maria Wenzel; Patricia S Wenzel

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 66Series 63SIESeries 7Series 6
Registered states (43): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Delaware · District Of Columbia · Florida · Georgia · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nevada · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · South Carolina · Tennessee · Texas · Utah · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 32
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 (9)

From the source registration record · current first

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

Aug 27, 2007 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Houston, TX · BC capacity

start not retrieved → present
Metlife Investors Distribution Company
BD capacity

Feb 15, 2005 → Jul 17, 2007
Nationwide Investment Services Corporation
BD capacity

Dec 12, 2000 → Feb 18, 2005
Nationwide Advisory Services, Inc.
BD capacity

May 25, 1999 → Dec 31, 2000
The Lincoln National Life Insurance Company
BD capacity

May 11, 1998 → Apr 30, 1999
Lincoln Financial Advisors Corporation
BD capacity

May 11, 1998 → Apr 30, 1999
New England Securities
BD capacity

Sep 8, 1997 → Feb 27, 1998
American Funds Distributors, Inc.
BD capacity

Jan 12, 1994 → Jul 14, 1997

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2208651 ↗ FINRA BrokerCheck record for CRD 2208651 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: IAPD_SEARCH. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

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