Stanley Paul Peterson

CRD 2214059 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Dothan, AL

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): Series 63Series 9Series 10Series 24SIESeries 7Series 2Series 6
Registered states (11): Alabama · California · Florida · Georgia · Louisiana · Mississippi · New York · South Dakota · Tennessee · Texas · Utah
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 (10)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Dothan, AL · IA capacity

Nov 30, 2020 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Dothan, AL · BC capacity

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

Apr 29, 2005 → Dec 8, 2020
Wells Fargo Clearing Services, LLC
BD capacity

Apr 23, 2005 → Dec 8, 2020
Southtrust Securities, LLC
BD capacity

Jan 2, 1996 → Apr 23, 2005
Liberty Securities Corporation
BD capacity

Aug 3, 1998 → Apr 17, 2000
Independent Financial Securities, Inc.
BD capacity

Jan 20, 1996 → Aug 3, 1998
Southtrust Investment Services, Inc.
BD capacity

Apr 7, 1995 → Dec 31, 1995
Amsouth Investment Services, Inc.
BD capacity

Aug 31, 1993 → Apr 10, 1995
W. S. Griffith & Co., Inc.
BD capacity

Jun 8, 1992 → Sep 20, 1993

Source & corrections

Where this page comes from

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