Denise M Mitchell

CRD 2231744 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Virginia Beach, VA

IA RegisteredBroker

Also appears in the source record as: Denise Michelle Mitchell

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): Series 65Series 63SIESeries 7
Registered states (39): Alabama · Arizona · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Nevada · New Hampshire · New Jersey · New York · North Carolina · Ohio · Oregon · Pennsylvania · Rhode Island · South Carolina · Tennessee · Texas · Utah · Virgin Islands · Virginia · Washington · West Virginia
Years in the industry (source record): 31
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 (6)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Virginia Beach, VA · IA capacity

Dec 16, 2013 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Virginia Beach, VA · BC capacity

start not retrieved → present
Wells Fargo Advisors, LLC
IA capacity

Oct 13, 2000 → Nov 25, 2013
Wells Fargo Advisors, LLC
BD capacity

Oct 1, 2000 → Nov 25, 2013
First Union Brokerage Services, Inc.
BD capacity

Jul 19, 2000 → Oct 1, 2000
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

May 2, 1995 → Jul 7, 2000

Source & corrections

Where this page comes from

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