Walter Vincent Cordi

CRD 2232904 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · New York, NY

IA RegisteredBroker

Also appears in the source record as: Walter Cordi

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (9): Series 66Series 63Series 4Series 10Series 9SIESeries 3Series 7Series 62
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
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 (16)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
New York, NY · IA capacity

Aug 7, 2021 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
New York, NY · BC capacity

start not retrieved → present
J.P. Morgan Securities LLC
IA capacity

Jul 6, 2017 → Nov 16, 2020
J.P. Morgan Securities LLC
BD capacity

Jun 30, 2017 → Nov 16, 2020
Ubs Financial Services Inc.
IA capacity

Jul 1, 2015 → Jun 19, 2017
Ubs Financial Services Inc.
BD capacity

Jun 23, 2015 → Jun 19, 2017
Citigroup Global Markets Inc.
BD capacity

May 29, 2007 → Jun 25, 2015
Citigroup Global Markets Inc.
IA capacity

May 29, 2007 → Jun 25, 2015
Citicorp Investment Services
IA capacity

Apr 10, 2007 → May 29, 2007
Citicorp Investment Services
BD capacity

Dec 22, 1997 → May 29, 2007
First Montauk Securities Corp.
BD capacity

Jun 24, 1997 → Oct 24, 1997
Marsh, Block & Co. Inc.
BD capacity

May 1, 1996 → Jun 30, 1997
Kensington Securities, Inc.
BD capacity

Mar 27, 1996 → May 8, 1996
Kensington Wells Incorporated
BD capacity

Nov 15, 1995 → Apr 2, 1996
H.J. Meyers & Co., Inc.
BD capacity

Jan 6, 1995 → Dec 7, 1995
Whale Securities Co., L.P.
BD capacity

Jun 25, 1992 → Jan 10, 1995

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2232904 ↗ FINRA BrokerCheck record for CRD 2232904 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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